Minutes of the Board of Regents of Stephen F. Austin State University. 2011, Volume No. 271

Stephen F. Austin
State University
MINUTES OF THE
BOARD OF REGENTS
Nacogdoches, Texas
October 17 and 18, 2011
Volume 271
TABLE OF CONTENTS
BOARD MINUTES FOR OCTOBER 17-18, 2011
MEETING 271
Page
APPROVAL OF MINUTES
Board Order 12-01
Approval of July 18 and 19, 2011 Board Minutes ...............................................................3
PERSONNEL
Board Order 12-02
Faculty Appointments for 2011-2012 ..................................................................................3
Staff Appointments for 2011-2012 ......................................................................................5
Changes of Status for 2011-2012 .........................................................................................7
Retirements ....................................................................................................................11
Tenure ....................................................................................................................11
ACADEMIC AND STUDENT AFFAIRS
Board Order 12-03
Approval of Small Size Class List for Summer and Fall 2011 ..........................................12
European Studies Consortium............................................................................................12
Approval for Transfer of Biotechnology Program into Department of Biology ...............12
Academic and Student Affairs Policy Revisions ...............................................................13
BUILDING AND GROUNDS
Board Order 12-04
Antenna Lease Contract with New Cingular Wireless PCS ..............................................13
Parking Garage Equipment Replacement ..........................................................................13
FINANCIAL AFFAIRS
Board Order 12-05
Grant Awards ....................................................................................................................14
Establishment of a Quasi-Endowment for the College of Liberal and Applied Arts ........14
Establishment of a Quasi-Endowment from the Norman H. Kiess Estate Bequest ...........15
Financial Affairs Policy Revisions ....................................................................................15
Approval of the Annual Audit Plan, Audit Charter and Report ........................................15
Board Order 12-06
Merit Payment for Stephen F. Austin State University Faculty and Staff .........................16
BOARD RULES AND REGULATIONS
Board Order 12-07
Revisions to Board Rules and Regulations ........................................................................16
REPORTS
President
Audit Services Report
Faculty Senate
Student Government Association
Board Special Committee for Athletic Attendance
APPOINTMENT OF 2012 BOARD NOMINATING COMMITTEE
MINUTES FOR APPROVAL
July 18 and 19, 2011, Board Meetings
APPENDICES
Appendix 1 – Small Size Class List for Summer and Fall 2011
Appendix 2 – Grant Awards
Appendix 3 – Audit Charter
Appendix 4 – Board Rules and Regulations
Appendix 5 – Policy Revisions
Academic and Student Affairs Committee:
Academic Curricula Review and Approval (A-4)
Accessibility for Persons with Disabilities (F-16)
Computer and Network Security (D-8.1)
Discontinuance of Program (A-74) NEW
Information Security for Portable Devices (D-58) NEW
Substantive Change (A-70)
Tenure (E-50A)
Tuition Rebate (C-50)
Finance and Audit Committee:
Best Value Procurement (C-7)
Financial Exigency (C-63) NEW
Gift Reporting (C-15)
Investments (C-41)
Professional and Consulting Services (C-45)
Travel (C-49)
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Stephen F. Austin State University
Minutes of the Meeting of the Board of Regents
Nacogdoches, Texas
October 17 and 18, 2011
Austin Building 307
Meeting 271
Monday, October 17, 2011
The regular meeting of the Board of Regents was called to order in open session at 8:14
a.m. on Monday, October 17, 2011, in the Austin Building Board Room by Chair Bob
Garrett.
PRESENT:
Board Members: Mr. Bob Garrett, Chair
Mr. Carlos Amaral
Dr. Scott Coleman
Mr. James Dickerson
Ms. Sarah Feye
Ms. Brigettee Henderson
Mr. Steve McCarty
Mr. Ken Schaefer
Mr. Ralph Todd
Ms. Connie Ware
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
Other SFA administrators, staff, and visitors
Chair Garrett called for an executive session to consider the following items:
Consideration of Individual Personnel Matters Relating to Appointment, Employment,
Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee,
including but not limited to men’s basketball coaches, executive director of marketing
and public affairs, vice presidents and the president. (551.074)
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Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations
(551.073)
Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated
Litigation or Settlement Offers including, but not limited to, reported complaints, EEOC
filings, tenure, Regents Rules and Regulations, intercollegiate athletics and intellectual
property. (551.071)
The board reconvened in open session at 11:48 and recessed for lunch, moved back into
executive session following the lunch break and reconvened in open session at 4:15 p.m.,
recessing for committee meetings.
The Finance and Audit Committee met from 4:23 p.m. to 4:35 p.m. The Building and
Grounds Committee met from 4:35 p.m. to 4:47 p.m. The Finance and Audit Committee
met again from 4:47 p.m. to 5:18 p.m. The Academic and Student Affairs Committee met
from 5:18 p.m. to 6:16 p.m.
The board meeting reconvened in open session at 6:16 p.m. and recessed for the evening
at 6:25 p.m. with no further action.
Tuesday, October 18, 2011
The chair reconvened the board meeting in open session at 9:10 a.m. on Tuesday,
October 18, 2011.
PRESENT:
Board Members: Mr. Bob Garrett, Chair
Mr. Carlos Amaral
Dr. Scott Coleman
Ms. Sarah Feye
Ms. Brigettee Henderson
Mr. Steve McCarty
Mr. Ken Schaefer
Mr. Ralph Todd
Ms. Connie Ware
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
Other SFA administrators, staff, and visitors
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Regent James Dickerson was absent due to illness.
Regent Ken Schaefer led the pledge to the flags and Regent Todd provided the
invocation.
RECOGNITIONS
Dr. Ric Berry introduced faculty from the College of Liberal Arts who hosted a
Transatlantic Conference with the University of St. Thomas in Houston and grant
recipients in the Perkins College of Education. Dr. Steve Westbrook introduced Students
in Service, the Parents Day planning team, Peer Involvement Advisors, and the SFA
Veterans Workgroup.
APPROVAL OF MINUTES
BOARD ORDER 12-01
Upon motion by Regent McCarty, seconded by Regent Coleman, with all members
voting aye, it was ordered that the minutes of the July 18 and 19, 2011 regular meeting of
the Board of Regents be approved as presented.
PERSONNEL
BOARD ORDER 12-02
Upon motion by Regent Amaral, seconded by Regent Ware, with all members voting aye,
it was ordered that the following personnel items be approved:
FACULTY APPOINTMENTS FOR 2011 – 2012
BUSINESS
Geralyn Franklin, Associate Dean of the Rusche College of Business, Ph.D.
(University of North Texas), at an annual salary of $126,000 for 100 percent time,
effective September 1, 2011.
Marie Kelly, Lecturer of Accounting, M.B.A. (Stephen F. Austin State
University), at an academic year salary of $40,000 for 100 percent time, effective
September 1, 2011.
EDUCATION
Adam Akerson, Instructor of Elementary Education, M.Ed. (Lamar University), at
an academic year salary of $50,000 for 100 percent time, effective September 1,
2011, contingent upon completion of doctorate by May 31, 2012.
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Todd Barrios, Clinical Instructor of Human Sciences, M.S. (Northwestern State
University), at an academic year salary of $48,000 for 100 percent time, effective
September 1, 2011.
Susan Casey, Assistant Professor of Elementary Education, Ed.D. (North Texas
University), at an academic year salary of $51,000 for 100 percent time, effective
September 1, 2011.
Adrian Decker, Visiting Instructor of Elementary Education, M.Ed. (Texas A&M
University), at an academic year salary of $40,000 for 100 percent time, effective
September 1, 2011.
Nina Ellis-Hervey, Assistant Professor of Human Services, Ph.D. (Oklahoma
State University), at an academic year salary of $62,000 for 100 percent time,
effective September 1, 2011.
Tracy Hallak, Instructor of Human Services, M.Ed. (Stephen F. Austin State
University), at an academic year salary of $48,000 for 100 percent time, effective
September 1, 2011.
Natalie Hensarling, Assistant Professor of Human Sciences, M.S. (Stephen F.
Austin State University), at an academic year salary of $55,000 for 100 percent
time, effective January 1, 2012, contingent upon completion of doctorate by May
31, 2012.
Carolyn Stufft, Instructor of Elementary Education, M.Ed. (Stephen F. Austin
State University), at an academic year salary of $49,000 for 100 percent time,
effective September 1, 2011, contingent upon completion of doctorate by May 31,
2017.
FINE ARTS
Eduardo Ortiz, Visiting Assistant Professor of Art, MFA. (Savannah College of
Art and Design), at an academic year salary of $42,000 for 100 percent time,
effective September 1, 2011.
David Studwell, Visiting Assistant Professor of Theatre, MFA. (Purdue
University), at an academic year salary of $44,500 for 100 percent time, effective
September 1, 2011.
LIBERAL AND APPLIED ARTS
Ronnie Michael Booker, Visiting Assistant Professor of History, Ph.D.
(University of Tennessee), at an academic year salary of $45,000 for 100 percent
time, effective September 1, 2011.
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Tom McKinney, Visiting Assistant Professor of History, Ph.D. (University of
Houston), at an academic year salary of $45,000 for 100 percent time, effective
September 1, 2011.
Colin Snider, Visiting Assistant Professor of History, Ph.D. (University of New
Mexico), at an academic year salary of $45,000 for 100 percent time, effective
September 1, 2011.
SCIENCES AND MATHEMATICS
Erin Fucik, Lab Coordinator of Biology, M.S. (Stephen F. Austin State
University), at an academic year salary of $35,000 for 100 percent time, effective
September 1, 2011.
Shelley Hunt, Clinical Instructor of Nursing, M.S.N. (University of Texas) at an
academic year salary of $54,000 for 100 percent time, effective September 1,
2011.
Janet King, Clinical Instructor of Nursing, M.S.N. (University of Texas) at an
academic year salary of $54,000 for 100 percent time, effective September 1,
2011.
Kellie Morse, Clinical Instructor of Nursing, M.S. (Stephen F. Austin State
University) at an academic year salary of $42,000 for 100 percent time, effective
September 1, 2011.
Justin Sullivan, Lab Coordinator of Biology, M.S. (Stephen F. Austin State
University) at an academic year salary of $35,000 for 100 percent time, effective
September 1, 2011.
STAFF APPOINTMENTS FOR 2011 – 2012
ADMISSIONS
Lauren Garcia, Admissions Counselor, at an annual salary of $32,150 for 100
percent time, effective August 1, 2011.
Vivian Kempt, Admissions Counselor, at an annual salary of $32,150 for 100
percent time, effective August 1, 2011.
ATHLETICS
Cody Clark, Assistant Track Coach, at a 10.5 month salary of $26,719 for 100
percent time, effective August 8, 2011.
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Jeremy Hadar, Coordinator of Athletic Video Production, at an annual salary of
$45,000 for 100 percent time, effective August 15, 2011.
Daniel J. Kaspar, Head Men’s Basketball Coach, approval of contract addendum
to the existing three year contract, at an annual base salary of $129,150 for 100
percent time, effective September 1, 2011.
Amber Lemke, Head Bowling Coach, at a 10.5 month salary of $32,000 for 100
percent time, effective August 8, 2011.
Robert McDermand, Director of Athletic Academic Services, at an annual salary
of $47,000 for 100 percent time, effective July 18, 2011.
Eleanor Meek, Assistant Track Coach, at a 10.5 month salary of $25,783 for 100
percent time, effective September 1, 2011.
Kelly Tarrant, Assistant Soccer Coach, at a 10.5 month salary of $24,720 for 100
percent time, effective July 25, 2011.
COUNSELING AND CAREER SERVICES
Jennifer Klingenberg, Counselor, at an annual salary of $40,000 for 100 percent
time, effective July 25, 2011.
John Mlinar, Career Counselor and Research Coordinator, at an annual salary of
$40,000 for 100 percent time, effective August 15, 2011.
EDUCATION
Jennifer Bailey, Associate Director for Project ENLACE in Secondary Education,
at an annual salary of $65,000 for 100 percent time, effective September 1, 2011.
Sandra Delgado, Associate Projector Director for CTE Grant in Human Sciences,
at an annual salary of $75,000 for 100 percent time, effective June 16, 2011.
Lori Hines, Teacher in Charter School, at an academic year salary of $52,500 for
100 percent time, effective September 1, 2011.
Kelly Jobe, Clinical Audiologist in Human Services, at an annual salary of
$74,000 for 100 percent time, effective August 1, 2011.
Claire Miller, Teacher in Charter School, at an academic year salary of $37,200
for 100 percent time, effective September 1, 2011.
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FORESTRY AND AGRICULTURE
Christopher Koffskey, Beef Farm Supervisor, at an annual salary of $38,802 for
100 percent time, effective July 11, 2011.
Zushang Su, Research Associate Medicinal Plants, at an annual salary of $32,000
for 100 percent time, effective July 25, 2011.
MULTICULTURAL AFFAIRS
Amanda Flores, Assistant Director of Multicultural Center, at an annual salary of
$38,000 for 100 percent time, effective July 25, 2011.
RESIDENCE LIFE
Kayla Bankhead, Hall Director, at an annual salary of $28,000 for 100 percent
time, effective August 15, 2011.
Erica Crafton, Hall Director, at an annual salary of $28,500 for 100 percent time,
effective August 15, 2011.
Hayley Landry, Hall Director, at an annual salary of $28,000 for 100 percent
time, effective August 15, 2011.
SCIENCES AND MATHEMATICS
Mary Childs, Research Associate STEM Center, at an annual salary of $38,000
for 100 percent time, effective September 1, 2011.
CHANGES OF STATUS FOR 2010 – 2011
ACADEMIC AFFAIRS
Mary Nelle Brunson, from Associate Vice President for Academic Affairs at an
annual salary of $135,000 for 100 percent time, to Associate Provost and Dean of
the Graduate School at an annual salary of $135,000 for 100 percent time,
effective August 1, 2011.
ATHLETICS
Alexis Majors, from Academic Advisor in the College of Business at an annual
salary of $35,000 for 100 percent time, to Athletic Academic Services Assistant at
an annual salary of $36,000 for 100 percent time, effective July 19, 2011.
Nathan Schneider, from Athletic Academic Services Assistant at an annual salary
of $35,000 for 100 percent time, to Athletic Academic Services Assistant with
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additional duties at an annual salary of $40,000 for 100 percent time, effective
September 1, 2011.
BUSINESS
Carl Dunn, from Instructor of General Business at an academic year salary of
$33,000 for 100 percent time, to Lecturer of General Business at an academic
salary of $33,000 for 100 percent time, effective September 1, 2011.
Laura Turner, from Financial Aid Officer at an annual salary of $35,477 for 100
percent time, to Academic Advisor at an annual salary of $36,000 for 100 percent
time, effective August 22, 2011.
Carol Wright, from Lecturer of General Business at an academic year salary of
$37,000 for 100 percent time, to Instructor of General Business at an academic
year salary of $37,000 for 100 percent time, effective September 1, 2011.
DISABILITY SERVICES
Daphne Curl, from Disability Services Exam Coordinator at an annual salary of
$38,813 for 100 percent time, to Testing Services Manager at an annual salary of
$45,000 for 100 percent time, effective August 22, 2011.
EDUCATION
Sandra Delgado, from Associate Project Director CTE in Human Sciences at an
annual salary of $75,000 for 100 percent time, to Associate Project Director CTE
in Human Sciences at an annual salary of $75,000 for two months, effective
September 1, 2011.
Delbert Lloyd Graves, from Adjunct Faculty in Kinesiology and Health Science at
a 5-month salary of $9,167 for 92 percent time, to Visiting Lecturer of
Kinesiology and Health Science at an academic year salary of $45,000 for 100
percent time, effective September 1, 2011.
Gloria Gresham, from Associate Professor of Secondary Education at an
academic year salary of $54,794 for 100 percent time, to Associate Professor of
Elementary Education at an academic year salary of $57,244 for 100 percent time,
effective September 1, 2011.
Tracey Hasbun, from Instructor of Elementary Education at an academic year
salary of $47,411 for 100 percent time, to Co-Coordinator NCATE and Instructor
of Elementary Education at an annual salary of $47,411 with an additional $500
per month stipend for 12 months, effective September 1, 2011.
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Stacy Hendricks, from Project Coordinator CERT Prep and Project Director Deep
East Texas at an annual salary of $61,000 for 100 percent time, to Assistant
Professor of Secondary Education at an academic year salary of $51,300 for 100
percent time, effective September 1, 2011.
Jennifer Kennon, from Lecturer of Human Services at an academic year salary of
$43,500 for 100 percent time, to Instructor of Human Services at an academic
year salary of $45,357 for 100 percent time, effective September 1, 2011.
Michael Munro, from Clinical Instructor of Human Services at an academic year
salary of $48,549 for 100 percent time, to Instructor of Human Services at an
academic year salary of $48,549 for 100 percent time, effective September 1,
2011.
Tara Ann Newman, from Assistant Professor of Human Sciences at an academic
year salary of $47,895 for 100 percent time, to Assistant Professor of Human
Sciences and Director QEP at an academic year salary of $47,895 for 100 percent
time with an additional $803.33 per month stipend for nine months, effective
September 1, 2011.
Emily Wilson, from Teacher in Early Childhood Laboratory at an annual salary of
$38,984 for 100 percent time, to Master Teacher in Early Childhood Laboratory at
an annual salary of $46,732 for 100 percent time, effective July 21, 2011.
ENVIRONMENTAL HEALTH, SAFETY AND RISK MANAGEMENT
Sonja Hendry, from Contracting Specialist in Procurement at an annual salary of
$38,736 for 100 percent time, to Safety Officer at an annual salary of $47,000 for
100 percent time, effective August 15, 2011.
FINE ARTS
Jackie Rosenfield, from Visiting Lecturer in Theatre at an academic year salary of
$38,000 for 100 percent time, to Senior Lecturer in Theatre at an academic year
salary of $38,000 for 100 percent time, effective September 1, 2011.
Christopher Talbot, from Associate Professor of Art, at an academic year salary of
$56,673 for 100 percent time, to Interim Director of the School of Art and
Associate Professor of Art, at an annual salary of $56,673 for 100 percent time
with an additional stipend of $6,797 for one month and $500 per month for nine
months, effective September 1, 2011.
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INFORMATION TECHNOLOGY
Earl Forney, from Administrator Database II at an annual salary of $48,000 for
100 percent time, to Administrator Database III at an annual salary of $52,000 for
100 percent time, effective September 1, 2011.
LIBERAL AND APPLIED ARTS
Darrell McDonald, from Professor of Social and Cultural Analysis at an academic
year salary of $67,258 for 100 percent time, to Professor of Social and Cultural
Analysis at an academic year salary of $78,000 for 100 percent time, effective
September 1, 2011.
Emmerentie Oliphant, from Associate Professor of Social Work at an academic
year salary of $58,794 for 100 percent time, to Associate Professor of Social
Work and Master of Social Work Director at an 11 month salary of $70,794 for
100 percent time, effective September 1, 2011.
ORIENTATION
Brooke Rodine, from Assistant Director of Orientation at an annual salary of
$38,813 for 100 percent time, to Director of Orientation at an annual salary of
$45,000 for 100 percent time, effective August 1, 2011.
PINEYWOODS AREA HEALTH EDUCATION CENTER
Randall Mark Scott, from Coordinator AHEC at an annual salary of $34,421 for
100 percent time, to Interim Director AHEC at an annual salary of $34,421 for
100 percent time with a $1,000 per month additional stipend for interim duties for
four months, effective September 1, 2011.
PRINTING SERVICES
Rebecca Galatas, from Administrative Assistant at an annual salary of $28,427 for
100 percent time, to Interim Director of Printing Services at an annual salary of
$28,427 for 100 percent time with an additional stipend of $400 per month for 12
months for interim duties, effective September 1, 2011.
PUBLIC AFFAIRS
Robin Johnson, from Internal Communication Specialist at an annual salary of
$36,750 for 100 percent time, to Publication Specialist at an annual salary of
$39,500 for 100 percent time, effective June 20, 2011.
Shirley Luna, from Associate Director of Media Relations at an annual salary of
$63,502 for 100 percent time, to Interim Executive Director of Public Affairs at
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an annual salary of $63,502 for 100 percent time with an additional monthly
stipend of $2,000 for two months in FY2011 and 12 months in FY2012, effective
July 22, 2011,
Kayli Steger, from Marketing Communication Assistant at an annual salary of
$35,800 for 100 percent time, to Internal Communication Specialist at an annual
salary of $36,000 for 100 percent time, effective July 18, 2011.
SCIENCES AND MATHEMATICS
Angela Johnson, from Lab Coordinator of Biology at an academic year salary of
$35,285 for 100 percent time, to Lecturer of Biology at an academic year salary of
$38,500 for 100 percent time, effective September 1, 2011.
Tami Putnam, from Casual Employee in Nursing at a salary of $19.80 per hour, to
Project Coordinator in Nursing at an annual salary of $41,200 for 100 percent
time, effective August 2, 2011.
RETIREMENTS
The following retirements were accepted:
Julia Ballenger, Professor of Secondary Education, effective August 31, 2011.
Paul Blackwell, Director of Columbia Center, effective August 31, 2011.
Bobby Bryant, Professor of Human Services, effective August 31, 2011.
Mary Burton, Manager of ITS Operations, effective August 31, 2011.
Jean Eldred, Associate Professor of Communication and Contemporary Culture,
effective July 31, 2011.
Donna Franklin, Safety Officer, effective August 31, 2011.
Janis Ritter, Director of Pineywoods Area Health Education Center, effective
August 31, 2011.
Catherine Simkunas, Assistant Director Testing Services, effective August 31,
2011.
TENURE
Academic tenure was awarded to Dr. Geralyn Franklin, College of Business,
effective fall semester, 2011.
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ACADEMIC AND STUDENT AFFAIRS
BOARD ORDER 12-03
Upon motion by Regent Amaral, seconded by Regent Henderson, with all members
voting aye, it was ordered that the following Academic and Student Affairs items be
approved.
APPROVAL OF SMALL SIZE CLASS LIST FOR SUMMER AND FALL 2011
WHEREAS, board members considered the following: Texas Higher Education
Coordinating Board rules require that all regular organized undergraduate classes with
fewer than ten students enrolled and regular graduate classes with fewer than five
students enrolled be approved by the Board of Regents. Under policies established by the
THECB, such classes can only be taught for specific reasons, such as the course being
needed for students to meet graduation requirements, etc. Courses for summer and fall
2011 are listed in Appendix 1.
THEREFORE, the summer and fall 2011 small class list was approved, as presented in
Appendix 1.
EUROPEAN STUDIES CONSORTIUM
WHEREAS, board members considered the following: The European Studies Consortium
(ESC) led by Stephen F. Austin State University is comprised of public and private
institutions of higher education committed to the joint development and sponsorship of
faculty and student program in and related to Europe. The aims of the ESC are to involve
larger numbers of faculty and students in international and cross-cultural learning
experiences related to Europe. Courses will be offered in consortial arrangements with
enrollments from several campuses. In a given semester, enrollments of SFA students
may be fewer than ten in an undergraduate class or fewer than five in a graduate class.
THEREFORE, the Board of Regents acknowledged and approved the small size classes that
may result from participation in the European Studies Consortium.
APPROVAL OF TRANSFER OF BIOTECHNOLOGY PROGRAM INTO THE
DEPARTMENT OF BIOLOGY
WHEREAS, board members considered the following: The Division of Biotechnology was
created in 1995 as a stand-alone unit in the College of Sciences and Mathematics. It has
been very productive in terms of graduating students and collaborating with the
University of Texas Health Science Center in delivering the Master of Science in
Biotechnology Curriculum. The size of the faculty and staff has remained quite small and
the administration believes that merging the biotechnology program into the Department
of Biology will achieve efficiencies and create new opportunities for collaborations
within the College of Sciences and Mathematics.
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THEREFORE, the Board of Regents approved the move the of biotechnology program into
the Department of Biology.
ACADEMIC AND STUDENT AFFAIRS POLICY REVISIONS
The Board of Regents adopted the following policy revisions as presented in Appendix 5:
Academic Curricula Review and Approval (A-4)
Accessibility for Persons with Disabilities (F-16)
Computer and Network Security (D-8.1)
Discontinuance of Program (A-74) NEW
Information Security for Portable Devices (D-58) NEW
Substantive Change (A-70)
Tenure (E-50A)
Tuition Rebate (C-50)
BUILDING AND GROUNDS AFFAIRS
BOARD ORDER 12-04
Upon motion by Regent McCarty, seconded by Regent Todd, with all members voting
aye, it was ordered that the following Building and Grounds Affairs items be approved:
ANTENNA LEASE CONTRACT WITH NEW CINGULAR WIRELESS PCS
WHEREAS, board members considered the following: New Cingular Wireless PCS wishes
to lease roof space to place a cellular antenna on the roof of Griffith Hall. The antenna
will strengthen the cellular coverage for the campus community
THEREFORE, the Board of Regents approved the contract with New Cingular Wireless
PCS to place a cellular antenna on the roof of Griffith Hall at an initial lease amount of
$60,000 annually, subject to periodic increases, for a maximum term of 26 years. The
president was authorized to sign the lease contract.
PARKING GARAGE EQUIPMENT REPLACEMENT
WHEREAS, board members considered the following: The Student Center Parking Garage
serves as a gateway to SFA for visitors and prospective students attending events in the
student center and visiting other parts of campus. A reliable controlled access system is
critical for effective management of daily event and contract parking. The existing
equipment has become unreliable and requires replacement.
THEREFORE, the Board of Regents approved the replacement of the access control system
in the Student Center Parking Garage at a cost not to exceed $200,000. The source of
funds will be University Affairs Renewal and Replacement. The president was authorized
to sign any necessary contracts.
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FINANCIAL AFFAIRS
BOARD ORDER 12-05
Upon motion by Regent Coleman, seconded by Regent Ware, with all members voting
aye, the following Financial Affairs items were approved:
GRANT AWARDS
WHEREAS, board members considered the following:
Fiscal year 2011 - The university received multi-year grant awards totaling
$45,823,555 (amended) that included funds allocable to fiscal year 2011. This
includes $121,984 in new awards since the last report. Of the multi-year total,
grant awards allocable to fiscal year 2011 were $19,042,283, an increase of
$112,226 since the last report.
Fiscal year 2012 - To date, the university has received multi-year grant awards
totaling $38,599,157 that include funds allocable to fiscal year 2012. This
includes $2,779,666 in new awards since the last report. Of the multi-year total,
grant awards allocable to fiscal year 2012 are $13,121,491, an increase of
$3,633,189 since the last report.
The grant awards result from extensive faculty research and service engagement
across many academic disciplines. The grants include direct federal, federal pass
through, state and private awards.
THEREFORE, the above described grant awards were approved and ratified, including
grant awards allocable to fiscal year 2011 that total $112,226 and additional grant awards
allocable to fiscal year 2012 that total $3,633,189. This also included approval of a
$159,334 subaward to the Lone Star College System to coordinate statewide professional
development activities for the Advanced Technical Credit project funded through the
Texas Education Agency. The grant awards are detailed in Appendix 2.
ESTABLISHMENT OF A QUASI-ENDOWMENT FOR THE COLLEGE OF
LIBERAL AND APPLIED ARTS
WHEREAS, board members considered the following: The university received a $70,000
unrestricted gift for the College of Liberal and Applied Arts. The use of the funds may be
designated by the university.
THEREFORE, the Board of Regents approved the establishment of a College of Liberal and
Applied Arts Quasi-Endowment with the initial gift of $70,000. The Quasi-Endowment
will be used to support academic programs in the College of Liberal and Applied Arts.
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ESTABLISHMENT OF A QUASI-ENDOWMENT FROM THE NORMAN H. KIESS
ESTATE BEQUEST
WHEREAS, board members considered the following: Norman H. Kiess served as an
associate professor of physics at Stephen F. Austin College from approximately 1963-
1966. He died on January 5, 2009. In his Last Will and Testament, he bequeathed a
portion of his estate to Stephen F. Austin State University. The $15,150 estate
distribution was unrestricted. The use of the funds may be designated by the university.
THEREFORE, the Board of Regents approved the establishment of the Norman H. Kiess
Faculty Quasi-Endowment with the estate distribution of $15,150. The Quasi-
Endowment will be used for faculty support in the physics department.
POLICY REVISIONS
The Board of Regents adopted the following policy revisions as presented in Appendix 5:
Best Value Procurement (C-7)
Financial Exigency (C-63) NEW
Gift Reporting (C-15)
Investments (C-41)
Professional and Consulting Services (C-45)
Travel (C-49)
APPROVAL OF ANNUAL AUDIT PLAN, AUDIT CHARTER AND REPORT
WHEREAS, the board members considered the following: According to the Rules and
Regulations of the Board of Regents, the director of audit services shall annually submit
information on the annual audit plan, work schedule and staffing plan to the president for
his review and to the Board of Regents for their approval. The director shall submit an
annual report as required by Art. 6252-5d, V.T.C.S., recodified at Government Code,
Chapter 2101. The annual report shall be submitted to the president and the board for
review prior to public dissemination.
In addition, the International Standards for the Professional Practice of Internal Auditing
require the internal audit charter to be approved on an annual basis. It is included as
Appendix 3.
THEREFORE, the Board of Regents approved the annual audit plan and report and the audit
charter as presented.
-16-
BOARD ORDER 12-06
Upon motion by Regent Coleman, seconded by Regent Amaral, with all members voting
aye, the following Financial Affairs item was approved:
WHEREAS, board members considered the following: Initiative #2 of the Stephen F.
Austin Strategic Plan is to improve faculty and staff compensation, recognition and
support. As a consequence of state funding reductions, the university was unable to
award increases to base salary for fiscal year 2012. However, to recognize the value and
achievements of the faculty and staff, the administration wishes to provide a one-time
merit payments to deserving faculty and staff.
THEREFORE, the Board of Regents authorized the president to provide a one-time $500
merit payment to eligible employees. Merit will be awarded based on university policy
and employment status.
BOARD RULES AND REGULATIONS
BOARD ORDER 12-07
Upon motion by Regent Coleman, seconded by Regent Schaefer, with all members
voting aye, the proposed revisions to the Rules and Regulations of the Board of Regents
were adopted as presented in Appendix 4.
REPORTS
Baker Pattillo gave a report on the following topics:
SFA Flag
Southland Conference
Homecoming
Tyler Rose Parade
Upcoming Dates
London Band Trip
Gina Oglesbee gave a quarterly audit report on the following topics:
TAC 202 Information Technology Security Review
Travel Audit
Follow-up Review of Outstanding Management Action Plans
Update on Audit Plan
David Howard, chair of the faculty senate, gave a presentation on “Inspired Teaching.”
Sydni Mitchell, president of the Student Government Association, gave a report on the
following topics:
Veterans Resource Center Update
Transportation on Campus
Sustainability on Campus
Student Center Advisory Board
“What’s Your Big Idea for 2012?”
-17-
Steve McCarty introduced a report from the Board Special Committee for Athletic
Attendance.
APPOINTMENT OF NOMINATING COMMITTEE
Bob Garrett made the following appointments to the Board Nominating Committee for
2012: Chair Steve McCarty, James Dickerson and Ralph Todd.
The meeting was adjourned at 11:12 a.m.
Appendix 1
Texas Higher Education Coordinating Board Rules Currently in Effect (9-2006)
Chapter 5. Rules Applying to Public Universities and/or Health-Related Institutions of Higher Education in
Texas Subchapter B. Role and Mission, Tables of Programs, Course Inventory
§5.23 Definitions
§5.23.5 Organized classes--Classes whose primary mode of instruction is lecture, laboratory, or seminar.
§5.23.8 Small classes--Undergraduate level classes with less than 10 registrations, and graduate level classes with less
than five registrations.
§5.26 Offering of Small Classes by Public Universities
In accordance with Texas Education Code, §51.403(d), public universities may offer organized small classes which:
§51.403(d.1) have been approved by the governing board of the university;
§51.403(d.2) is a required course for graduation (the course is not offered each semester or term, and, if canceled, may
affect the date of graduation of those enrolled);
§51.403(d.3) is a required course for majors in this field and should be completed this semester (or term) to keep proper
sequence in courses;
§51.403(d.4) is a course in a newly established degree program, concentration, or support area;
§51.403(d.5) is part of an interdepartmental (cross-listed) course taught as a single class by the same faculty at the
same station, provided that the combined enrollments do not constitute a small class;
§51.403(d.6) is a first-time offering of the course;
§51.403(d.7) is class size-limited by accreditation or state licensing standards;
§51.403(d.8) is class size-limited by availability of laboratory or clinical facilities; or
§51.403(d.9) is voluntarily offered by a faculty member in excess of the institutional teaching load requirement and for
which the faculty member receives no additional compensation.
Source Note: The provisions of this §5.26 adopted to be effective May 28, 2003, 28 TexReg 4124
Appendix 1
SMALL CLASSES
SUMMER 2011
Course Information
Section Title
Number
Enrolled
Credit
Hour
Value
Total
Credit
Hours
Texas Education
Code Offering
Compliance
COU 533 001 Counseling Skills & Tech 4 3 12 §51.403 (d.3)
EPS 675 020 Special Problems 1 3 3 §51.403 (d.9)
GIS 464 001 GIS for Water Resources 5 3 15 §51.403 (d.6, 4)
GIS 464 001 GIS for Water Resources 5 3 15 §51.403 (d.6, 4)
GIS 564 001 GIS for Water Resources 1 3 3 §51.403 (d.6)
GIS 564 001 GIS for Water Resources 1 3 3 §51.403 (d.6)
PLS 317 001 Applied Agriculture Data Appl 5 2 10 §51.403 (d.2)
PLS 317 020 Applied Agriculture Data Appl 5 2 10 §51.403 (d.2)
CJS 213 001 Civil Procedure 8 3 24 §51.403 (d.3)
BIO 370 001 Evolution 8 3 24 §51.403 (d.2)
CHE 505 001 Advanced Chemical Concepts 4 3 12 §51.403 (d.2, 3)
MTH 311 001 Intro to Modern Mathematics 5 3 15 §51.403 (d.3)
MTH 098 001 Introductory Algebra 9 3 27 §51.403 (d.2)
PHY 410 001
Experimental Techniques in
Phy 9 4 36 §51.403 (d.2)
Total Estimated Credit Hours in Small Classes 209
Total Estimated Credit Hours Summer 2011 22,062
Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours 0.95%
Date: _________________ Approval: _________________________________________________________
Appendix 1
SMALL CLASSES
FALL 2011
Course Information
Section Title
Number
Enrolled
Credit
Hour
Value
Total
Credit
Hours
Texas Education
Code Offering
Compliance
CSC 342 001 Algorithm Analysis 9 3 27 §51.403 (d.2, 3)
CSC 442 001
Organization Programming
Langs 7 3 21 §51.403 (d.2)
CSC 455 001 Enterprise Security 5 3 15 §51.403 (d.2, 4)
FIN 490 001 Student Invest Roundtable 6 3 18 §51.403 (d.4)
FIN 590 001 Adv Student Invest Roundtable 2 3 6 §51.403 (d.4)
EPS 675 001 Special Problems 4 3 12 §51.403 (d.9)
HMS 333 201 Apparel II 1 3 3 §51.403 (d.1)
KIN 200 017 Physical Fitness Training 7 2 14 §51.403 (d.9)
SPE 442 601 Visual & Multiple Imp 2 3 6 §51.403 (d.1)
KIN 200 017 Physical Fitness Training 7 2 14 §51.403 (d.9)
MUT 350 501 Multimedia Sound Techniques 5 3 15 §51.403 (d.2)
FOR 304 001 Arboriculture 8 3 24 §51.403 (d.3)
FOR 317 001 Forest Biometrics II 6 3 18 §51.403 (d.3)
FOR 347 001 Silviculture 6 3 18 §51.403 (d.3)
FOR 451 001 Mgmt of Outdoor Rec Area 7 3 21 §51.403 (d.2)
FOR 458 001 Forest Resource Mgmt 8 4 32 §51.403 (d.2)
HRT 325 001 Design Applic. Software I CAD 9 2 18 §51.403 (d.2)
HRT 325 020 Dsgn App. Software I CAD-Lab 9 1 9 §51.403 (d.2)
AAS 498 090 Senior Seminar 5 3 15 §51.403 (d.6)
MCM 456 001 Adv Television Production 8 3 24 §51.403 (d.2)
MCM 456 020 Adv Television Production 8 3 24 §51.403 (d.2)
MCM 478 001 Advanced Advertising I 6 3 18 §51.403 (d.6)
PSC 305 001 Appellate Advocacy I 1 3 3 §51.403 (d.9)
BIO 449 001 Animal Histology 8 4 32 §51.403 (d.2)
BIO 470 001 Seminar in Biology 8 1 8 §51.403 (d.2)
CHE 241 001 Inorganic Chemistry 7 3 21 §51.403 (d.2, 3, 9)
CHE 511 001 Advanced Organic Chemistry 4 3 12 §51.403 (d.2, 3, 9)
MTH 345 001 Math for the Sec Sch Teacher 3 3 9 §51.403 (d.2, 3, 9)
MTH 539 001 Real Analysis I 3 3 9 §51.403 (d.2, 3)
PHY 431 001 Intro to Quantum Mechanics 8 3 24 §51.403 (d.2)
STA 320 001 Statistical Methods 9 3 27 §51.403 (d.2)
STA 522 001 Regression Analysis 3 3 9 §51.403 (d.2, 3)
STA 525 001 Applied Nonparametric Stats 4 3 12 §51.403 (d.2, 3)
Total Estimated Credit Hours in Small Classes 538
Total Estimated Credit Hours Fall 2011 157,783
Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours 0.34%
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
1
Summary Report – Fiscal Year 2011
New Current Year Awards (this period) – as of August 31, 2011
Subtotal direct federal $20,960
Subtotal federal pass-through $76,741
Subtotal state and state pass-through $ 2,000
Subtotal private and local government $12,525
Total new awards (this period) $ 121,984
Total current year awards for grants active in 2011 $19,042,283
Total awards (all years) for grants active in 2011 $45,823,555
New, Additional, or Previously Unreported Awards for FY 2011
Direct Federal Awards
*Habitat Occupancy and Origins of American Woodcock Wintering in East Texas
FY 2011 Award: $12,960
Total Award: $69,984 (Grant)
Sponsor: U.S. Department of the Interior - FWS
Term (this action): June 29, 2011 – December 31, 2012
Description: The purpose of this grant is to “link habitat suitability, use and
quality with American woodcock occupancy and density by large scale habitat-cover
types during winter in East Texas” and to identify geographic linkages and connectivity
between seasonal ranges through isotope analysis. PI/PD: Dr. Warren Conway, School
of Forestry
*More Bugs in the Woods (FY 11)
FY 2011 Award: $8,000
Total Award: $8,000 (Challenge Cost-share Agreement)
Sponsor: U.S. Department of Agriculture (USFS)
Term (this action): June 22, 2011 – September 30, 2011
Description: This partnership agreement adds conservation education
programs, including iTREE and PollinatorLIVE!, supports the Latino Legacy Youth in
Nature leadership Challenge, and provides assistance with weekend conservation
education programs at Scott’s Ridge Recreation Area in the Sam Houston National
Forest and the Jones State Forest in Conroe. PI/PD: Dr. David Kulhavy, School of
Forestry
Subtotal Current Year Awards (this report) = $20,960
Subtotal New Direct Federal Awards (total award) = $77,984
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
2
Federal Pass-through Awards
*Final Stretch Scholarship Grant Program
FY 2011 Award: $36,000
Total Award: $36,000 (Grant)
Sponsor: TX Higher Education Coordinating Bd. (U.S. Dept. of Education)
Term (this action): May 1, 2011 – June 30, 2011
Description: Final Stretch, provided through the federal College Access
Challenge Grant, is a “one-time, need-based grant of $2,000 for Pell grant eligible
students who enroll in a summer 2011 term.” PI/PD: Mike O’Rear, Financial Aid
Previously Described Awards
State of Texas Special Education Recruitment and Retention (FY 11)
FY 2011 Award: $26,133 (additional award) Total Award: $35,000
Special Education Consolidated Grant (IDEA-B) FY 11
FY 2011 Award: $4,858 (additional award) Total Award: $30,108
Visually Impaired Preparation (VIP) Program FY 11
FY 2011 Award: $10,000 (additional award) Total Award: $497,000
MLK Day of Service FY 11
FY 2011 Award: $-250 (award reduction) Total Award: $750
Subtotal Current Year Awards (this report) = $76,741
Subtotal New Federal Pass-through Awards (total award) = $36,000
State and State Pass-through Awards
*Edge of Life: Forestry Pathology Art
FY 2011: $2,000
Total Award: $2,000 (Grant)
Sponsor: Texas Commission on the Arts
Term (this action): April 1. 2011 – August 31, 2011
Description: This grant provides funding for the transport and installation of
the Edge of Life Exhibit, created with an SFA Faculty Research Grant and initially
exhibited at the Cole Art Center, for an exhibit at the University of North Texas Eagle
Exhibit Hall. PI/PD: Dr. Michelle Rozic, School of Art and Dr. David Kulhavy, School
of Forestry
Subtotal Current Year Awards (this report) = $2,000
Subtotal New State/State Pass-through Awards (total award) = $2,000
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
3
Private and Local Government Awards
*Visual Impairment Module Development
FY 2011 Award: $6,000
Total Award: $6,000 (Fixed Price Agreement)
Sponsor: Region 11 Education Service Center
Term (this action): December 8, 2010 – August 31, 2011
Description: This agreement provides funds to plan and develop online modules
in the area of visual impairments. PI/PD: Dr. Dixie Mercer, Department of Human
Services
Previously Described Awards
AHEC Special Projects
FY 2011 Award: $6,525 (additional award) Total Award: $56,435
Subtotal Current Year Awards (this report) = $12,525
Subtotal New Private/Local Government Awards (total award) = $6,000
Update - Fiscal Year 2012
New Current Year Awards (this period) – as of September 19, 2011
Subtotal direct federal $ 258,997
Subtotal federal pass-through $1,063,183
Subtotal state and state pass-through $2,298,983
Subtotal private and local government $ 12,026
Total new awards (this period) $ 2,779,666
Total current year awards for grants active in 2012 $13,121,491
Total awards (all years, to date) for grants active in 2012 $38,599,157
Direct Federal Awards
*Talented Teaches in Training for Texas (T4)
FY 2012 Award: $126,966
Total Award: $1,449,996 (Grant)
Sponsor: National Science Foundation
Term (this action): September 1, 2011 – August 31, 2016
Description: The goals of the T4 project are 1) to increase the capacity of
Science, Technology, Engineering and Mathematics (STEM) teaching majors and 2) to
study the development of a research-based model for strengthening the STEM teacher
pipeline. PI/PD: Dr. Lesa Beverly, Department of Mathematics and Statistics
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
4
*Environmental Availability of Lead and Use in Moist-soil Management to Attract Waterfowl
on the Texas NWRs
FY 2012 Award: $46,907
Total Award: $109,450 (Cooperative Agreement)
Sponsor: U.S. Department of the Interior - FWS
Term (this action): September 2, 2011 – December 30, 2013
Description: Funds are provided to evaluate the environmental availability of
lead shot, model impacts of lead exposure on the mottled duck population, and study
various plant species in the Texas Midcoast National, the Texas Chenier Plain, and the
Aransas National Wildlife Refuge complexes. PI/PD: Dr. Warren Conway, School of
Forestry
*50th Anniversary Video: Mcintire-Stennis Cooperative Research Program
FY 2012 Award: $15,000
Total Award: $15,000 (Grant)
Sponsor: U.S. Department of the Agriculture (NIFA)
Term (this action): August 15, 2011 – August 14, 2012
Description: This award provides funds for the production of a digital video, “A
Driving Force in Developing the Nation’s Forests: The McIntire-Stennis Cooperative
Forestry Research Program,” that will highlight the McIntire-Stennis Program’s history
and significant accomplishments, PI/PD: Dr. Steven Bullard, College of Forestry and
Agriculture
*Protecting Cultural Resources at Glen Canyon NRA
FY 2012 Award: $22,500
Total Award: $30,000 (Task Agreement)
Sponsor: U.S. Department of the Interior - NPS
Term (this action): August 31, 2011 – December 31, 2012
Description: This project is to develop a Glen Canyon National Recreation
Area/Rainbow Bridge National Monument strategy for the protection of cultural
resources along the shoreline of Lake Powell, Utah. PI/PD: Dr. Theresa Coble, School of
Forestry
Previously Described Awards
Habitat Occupancy and Origins of American Woodcock Wintering in East Texas
FY 2012 Award: $51,624 Total Award: $69,984
Orientation and Mobility for the Blind Training Program
FY 2012 Award: -$4,000 (reduction) Total Award: $496,000
Subtotal Current Year Awards (this report) = $258,997
Subtotal New Direct Federal Awards (total award) = $1,604,446
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
5
Federal Pass-through Awards
* Visually Impaired Preparation (VIP) Program FY 12
FY 2012 Award: $487,000
Total Award: $487,000 (Interagency Agreement - renewal)
Sponsor: Texas Dept. of Assistive and Rehabilitative Services
(U.S. Department of Education)
Term (this action): September 1, 2011 – August 31, 2012
Description: SFA will prepare or begin to prepare 32 new professionals taking
coursework leading to endorsement in visual impairment or Academy for Certification of
Vision Rehabilitation and Education Professionals certification in Orientation and
Mobility. PI/PD: Dr. Dixie Mercer, Department of Human Services
* Career and Technical Education State Leadership Project – ATC Professional Development
Accountability System FY12
FY 2012 Award: $350,000
Total Award: $350,000 (Grant - continuing)
Sponsor: Texas Education Agency (U.S. Dept. of Education)
Term (this action): September 1, 2011 – August 31, 2012
Subawards: $159,334 – A subaward to the Lone Star College System (LSCS) is
approved by the sponsor as part of the grant application. LSCS will provide Part II of the
TEA required in-service teacher training, quarterly ATC Leadership Committee
meetings, and the revision of the ATC Course Crosswalk for the 2012-13 school year.
Description: Funds are provided to continue support of the statewide Advanced
Technical Credit (ATC) Program by determining and recording the eligibility of
secondary teachers to teach courses for articulated college credit, facilitating secondary-to-
postsecondary course alignment, and training of secondary subject-area teachers.
PI/PD: Dr. Judy Abbott, College of Education
* Child Welfare Professional Development Program FY 12
FY 2012 Award: $146,834
Total Award: $146,834 (Interagency Agreement - renewal)
Sponsor: TX Dept. of Family and Protective Services (U.S. Dept. of Health
and Human Services)
Term (this action): July 1, 2011 – June 30, 2012
Description: The purpose of this federally funded program is to provide a staff
development and training program that supports the goals in the Child and Family
Services state plan for Title IV-E training, which include enhancing the skills of CPS
workers through education in social work and providing opportunities for ongoing foster
parent and staff training. PI/PD: Becky Price-Mayo, School of Social Work
* Geriatric Education Center (GEC) FY 12
FY 2012 Award: $21,600
Total Award: $21,600 (Subcontract- renewal)
Sponsor: U.T. Medical Branch - Galveston (U.S. Dept. of Health and
Human Services)
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
6
Term (this action): July 1, 2011 – June 30, 2012
Description: The purpose of this federally sponsored program is to help provide
high-quality, continuing education in geriatrics and to improve health care for older
adults including those in rural communities. PI/PD: Mark Scott, Piney Woods AHEC,
College of Sciences and Mathematics
Previously Described Awards
Encouraging the College Bound into Healthcare Occupations (ECHO)
FY 2011 Award: $33,949 Total Award: $35,435
StateView Program Development and Operations for the State of Texas
FY 2012 Award: $23,800 Total Award: $95,941
Subtotal Current Year Awards (this report) = $1,063,183
Subtotal New Federal Pass-through Awards (total award) = $1,005,434
State and State Pass-through Awards
* Piney Woods Area Health Education Center (AHEC) FY12
FY 2012 Award: $113,760
Total Award: $113,760 (Contract - renewal))
Sponsor: U.T. Medical Branch - Galveston
Term (this action): September 1, 2011 – December 30, 2012
Description: The purpose of this ongoing project is to build and maintain an
integrated, community-based, regional organization to effectively and efficiently address and
support achievements of East Texas AHEC objectives. PI/PD: Mark Scott, Piney Woods AHEC,
College of Sciences and Mathematics
* Disability - Reader Services FY 12
FY 2012 Award: $16,000
Total Award: $32,000 (Interagency Agreement - renewal)
Sponsor: TX Dept. Assistive & Rehabilitative Services
Term (this action): September 1, 2011 – December 30, 2013
Description: Funds are provided for reader services for students with
disabilities. PI/PD: Chuck Lopez, Disability Services
* State of Texas Assessments of Academic Readiness (STAAR) – Algebra II and English III
FY 2012 Award: $12,000
Total Award: $12,000 (Interagency Contract)
Sponsor: Texas Higher Education Coordinating Board
Term (this action): August 1, 2011 – April 30, 2012
Description: In coordination with Pearson LPC, SFA will identify and recruit
up to 120 entering students who graduated from Texas public schools in the spring of
2011 to participate in a research study by administering the STAAR Algebra II and
English III reading and writing assessments. PI/PD: Chuck Lopez, Testing Services
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
7
Previously Described Awards
Stephen F. Austin State University Charter School
FY 2010 Budget: $1,846,267 Total to date: $6,418,418
Systemic Texas Educator Preparation Sites (STEPS) for College and Career Readiness
Demonstration Project
FY 2012 Award: $262,500 Total Award: $825,000
Disability Interpreter Services FY 12
FY 2012 Award: $35,000 Total Award: $140,000
Joint Admissions Medical Program (JAMP) FY 12
FY 2012 Award: $13,456 Total Award: $29,457
Subtotal Current Year Awards (this report) = $2,298,983
Subtotal New State/State Pass-through Awards (total award) = $157,760
Private and Local Government Awards
*Study Abroad Program to Montreal, Quebec and Ottawa, Ontario
FY 2012 Award: $10,226
Total Award: $10,226 (Grant)
Sponsor: Department of Foreign Affairs and International Trade
Government of Canada
Term (this action): May 17, 2011 – April 20, 2012
Description: Funds from this Student Mobility Support Program are provided to
support a significant study abroad experience that is imbedded in upper level courses at
SFA for fifteen political science and/or French majors and minors. PI/PD: Dr. Steven
Galatas, Department of Government and Dr. Joyce Johnston, Department of Modern
Languages
*Tournées Festival Film Program
FY 2012 Award: $1,800
Total Award: $1,800 (Grant - renewal)
Sponsor: French-American Cultural Exchange
Term (this action): September 1, 2011 – August 31, 2012
Description: This award supports the screening of contemporary French cinema
on the SFA campus. PI/PD: Dr. Joyce Johnston, Department of Modern Languages
Subtotal Current Year Awards (this report) = $12,026
Subtotal New Private and Local Government Awards (total award) = $12,026
Note:
Appendix 2
Grants awarded between June 20, 2011 and September 19, 2011
*New awards
Prepared by the Office of Research & Sponsored Programs
8
Amounts are based on award notices as they are received from the funding agency, not
expenditures or balances in funds/accounts. Some current year awards are estimates
based on the total amount awarded spread over the award period.
Does not include non-grant financial aid or gift accounts.
Appendix 3
1
STEPHEN F. AUSTIN STATE UNIVERSITY
DEPARTMENT OF AUDIT SERVICES
INTERNAL AUDIT CHARTER
October 18, 2011
Purpose
Internal auditing is an independent, objective assurance and consulting
activity designed to add value and improve the university’s operations. It
helps the university accomplish its objectives by bringing a systematic,
disciplined approach to evaluate and improve the effectiveness of risk
management, control and governance processes.
The purpose of the Department of Audit Services is to provide the Board of
Regents and the president an independent appraisal of the adequacy and the
effectiveness of the university's system of internal administrative and
accounting controls and the quality of performance when compared with
established standards. The primary objective is to assist the Board of
Regents, the president and university management in the effective discharge
of their responsibilities.
Authority
The Department of Audit Services is an integral part of Stephen F. Austin State
University and functions within established policies. The director of audit
services reports functionally to the Board of Regents and administratively to
the president.
The Department of Audit Services will have unrestricted access to all
university activities; records, both manual and electronic; property; and
personnel relevant to any area being reviewed. Members of the audit
services' staff will handle all documents and other information acquired in the
course of their duties prudently.
Standards and Independence
The department will operate within the guidelines of the Texas Internal
Auditing Act (Article 6252 – 5d., V.A.C.S.), the Institute of Internal Auditors
(IIA) Professional Practices Framework which includes the Definition of
Appendix 3
2
Internal Auditing, the Code of Ethics, and the International Standards for the
Professional Practice of Internal Auditing as mandatory guidance. In addition,
where applicable the department will follow Generally Accepted Government
Auditing Standards (GAGAS).
The department’s internal auditors will uphold the principles of integrity,
objectivity, confidentiality, and competency. Internal auditors will be
independent of the activities or operations they review; they will not engage
in any activity which would impair their independence.
Responsibility
The Department of Audit Services will fulfill its responsibility to the board and
the president by:
developing an audit plan based on a risk analysis which includes
consideration of the university’s goals and objectives and the concerns
of management and the board.
providing audit coverage that consistently meets the needs and
expectations of management
following up on identified weaknesses, findings and recommendations
from previous audit work
participating in a program of quality assurance designed to ensure the
increasing professionalism of the department and standard of the work
performed
performing consulting services including advisory and related service
activities, the nature and scope of which are agreed upon and which
are intended to add value and improve the university’s governance,
risk management, and control processes without assuming
management responsibility. Examples include counsel, advice,
facilitation, training, and committee service.
Annually the director of audit services will submit information on the annual
audit plan, work schedule, and staffing plan to the president for his review
and to the Board of Regents for their approval. Quarterly the director will
provide activity reports to the president and the board detailing progress
against the annual audit plan, audit accomplishments, and highlights of any
significant audit findings and recommendations. The director of audit services
will submit reports as required to the state auditor’s office, governor’s office,
Legislative Budget Board and Sunset Advisory Commission.
The scope of audit activities will include all controls, reports and operations of
the university. The Department of Audit Services will examine and evaluate:
Appendix 3
3
The reliability and integrity of financial and operating information and
the means used to identify, measure, classify and report information.
The systems established to ensure compliance with policies, plans,
procedures, laws and regulations that could have a significant impact
on the university.
The means of safeguarding assets and verifying their existence.
The economy and the efficiency with which resources are employed.
The extent to which the operations and programs of the university are
consistent with its objectives and goals.
The ethics objectives and activities of the university.
The potential for fraud and the management of fraud risk.
Appendix 4
1
RULES AND REGULATIONS
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
(Amended December 18, 2009October 18, 2011)
1. Composition of Board
The Board of Regents, Stephen F. Austin State University, is composed of nine
members who are appointed by the governor of Texas, with the advice and
consent of the senate. Three members of the board are appointed biennially
to serve for terms of six years.
The board is charged with the responsibility of performing those duties which
are delegated to it by the legislature. The board has no authority except as
delegated to it by law.
Knowledge of the limitations of its authority is imputed to all persons, firms
and corporations dealing with the board.
2. Non-Voting Student Regent
Annually on June 1, a student regent shall be appointed by the governor to
serve a one-year term expiring on the following May 31. The student regent
must be enrolled as an undergraduate or graduate student at Stephen F.
Austin State University at the time of appointment and throughout the student
regent’s term. The student regent must remain in good academic standing
and maintain at least a 2.5 GPA.
The student regent is not a member of the Board of Regents of Stephen F.
Austin State University. The student regent has the same powers and duties as
the members of the Board of Regents, including the right to attend and
participate in meetings of the Board of Regents, except that the student regent
may not vote on any matter before the board or make or second any motion
before the board. The student regent is not counted in determining whether a
quorum exists for a meeting of the board or in determining the outcome of any
vote of the board.
3. Office of the Board of Regents
The Office of the Board of Regents is located in the Austin Building, Room 308.
The mailing address is PO Box 13026 – SFA Station, Nacogdoches, TX 75962-
3026. The office is staffed by the coordinator of board affairs.
Appendix 4
2
4. Setting of Meetings
The Board of Regents shall convene annually in Nacogdoches, Texas, in the
month of April, which meeting shall be known as the annual meeting.
All meetings of the board shall conform to the terms of the Texas Open
Meetings Act, Ch. 551 Tex. Gov. Code. Regular meetings of the board shall
be held quarterly at such time and place as a majority of the board shall
determine. The board shall set regular quarterly meeting dates one year in
advance, usually in January, April, July and October, which may be changed
by consensus of the board due to unanticipated needs. Special meetings of
the board may be called by the chair, or by a majority of the members of the
board. Telephone conference meetings may be called when circumstances
dictate that immediate action would be in the best interest of the universityis
required or whenand it is difficult or impossible to convene a quorum in a
single location. Telephone conference meetings shall be restricted to special
meetings of the board.
All meetings of the Board of Regents shall be open to the public. Executive
sessions of the board may be held with the consent of a majority of those
members present and as authorized by law.
A majority of the members of the board or committee membership shall
constitute a quorum. Ex-officio members shall be counted for purposes of
determining a quorum. Proxies shall not be recognized. No formal action shall
be taken by the board or committee of the board in the absence of a quorum.
5. Designation of Officers
The officers of the board shall include a chair, a vice chair, a secretary, and
such other officers as may from time to time be elected or appointed.
6. Election of Chair and Authorization of Duties
At the January meeting of the board, and as the last order of business, there
shall be elected from the membership of the board a chair, who shall take
office at the start of business during the official, formal meeting of the full
board in April and shall serve through the beginning of business at the formal
meeting of the full board in April of the following year. In the event the chair’s
term of office as regent expires prior to the conclusion of his/her service as
chair, the chair-elect shall immediately take office upon such expiration and
serve for the remainder of the previous chair’s term and his/her elected term;
Appendix 4
3
however if the chair is reappointed to a new term as regent, he/she shall
complete the elected term of office.
No member shall serve more than two consecutive elected terms as chair
unless the members shall re-elect such member for each term after the two
consecutive terms by a vote of at least six (6) members.
In the event of a chair's death or resignation, the vice chair shall serve as chair
of the board until the next annual meeting.
The chair of the board shall preside at all meetings of the board which he/she
attends.
He/she will be responsible for the agendas of the meetings of the board.
He/she shall have the authority to call special meetings of the board, as herein
provided. He/she shall be an ex officio member of all committees of the board
and shall be in addition to the membership prescribed in Section 9 of these
Rules. He/she shall deliver to each new board member immediately upon
such person's appointment by the governor a copy of the regents' Rules and
Regulations and a copy of the organization of principal administrative offices
of the university.
Parliamentary procedure in board meetings will generally conform to Roberts'
Rules of Order, Newly Revised, when not in conflict with board rules.
The chair shall, in the name of the board, formally execute all contracts and
documents authorized by resolutions of the board unless otherwise authorized
to be signed by the president, and perform such other duties as are generally
imposed on a chair of the board.
7. Election of Vice Chair and Authorization of Duties
A vice chair shall be elected from the membership of the board immediately
following the election of a chair at the January meeting and shall take office at
the start of business during the official, formal meeting of the full board in
April and shall serve through the beginning of business at the formal meeting
of the full board in April of the following year. In the event the vice chair’s term
of office as regent expires prior to the conclusion of his/her service as vice chair,
the vice chair-elect shall immediately take office upon such expiration and serve
for the remainder of the previous vice chair’s term and his/her elected term;
however if the vice chair is reappointed to a new term as regent, he/she shall
complete the elected term of office.
Appendix 4
4
No member shall serve more than two consecutive elected terms as vice chair
unless the members shall re-elect such member for each term after the two
consecutive terms by a vote of at least six (6) members.
The vice chair shall preside over meetings of the board in the absence of the
chair, and shall succeed to the rights and powers of the chair in the event
he/she is absent from the state or is unable to act because of disqualification,
or because of physical disability as determined by the board. The vice chair
shall perform such other duties as may be delegated to him/her by the board.
In the event of the death, resignation, or assumption of chair duties by the vice
chair, the secretary shall serve as vice chair, as well as secretary, until the
beginning of business at the formal meeting of the full board at the next April
meeting.
8. Election of Secretary and Authorization of Duties
The board shall select a secretary from the membership of the board,
immediately following election of a vice chair at the January meeting, who
shall take office at the start of business during the official, formal meeting of
the full board in April and who shall serve through the beginning of business
at the formal meeting of the full board in April of the following year. In the
event the secretary’s term of office as regent expires prior to the conclusion of
his/her service as secretary, the secretary-elect shall immediately take office
upon such expiration and serve for the remainder of the previous secretary’s
term and his/her elected term; however if the secretary is reappointed to a new
term as regent, he/she shall complete the elected term of office. The secretary
shall ensure that preparation for all meetings of the board, including such
notices as required by law are made. The secretary or other officers shall
attend all open meetings of the board and ensure that accurate records of all
open meetings are kept. He/she shall ensure that all parties affected by the
actions of the board are notified. He/she shall provide oversight to the
coordinator of board affairs who shall be responsible for all records of the
board and all documentary files thereof. He/she shall ensure that the
coordinator of board affairs keep the official copy of the regents' Rules and
Regulations. Said copy shall contain all current rules and regulations as set by
the Board of Regents. Any changes or additions thereto shall be entered in the
official copy and such changes and additions shall be furnished to members of
the board and officers of the university as designated by the president. The
coordinator of board affairs shall assist the secretary in performing the duties
of his/her office.
Appendix 4
5
9. Committees of the Board
The chair of the board shall appoint at the annual meeting of the Board of
Regents or soon thereafter all committee members and shall designate a chair
of each committee except as otherwise provided herein. The chair of the
board may further remove, replace, or appoint members in the event of a
vacancy.
9.1 The Executive Committee shall consist of the chair of the board, the
vice chair of the board, and one other member appointed by the chair.
Two members present shall constitute a quorum. The chair of the board
shall serve as chair of this committee. This committee shall serve as an
advisory committee and review and make recommendations to the full
board on any matter related to the governance, control and direction of
the policies of the university.
9.2 The Academic and Student Affairs Committee shall consist of three
members. This committee shall consider:
(1) the curricula of the various colleges and departments of the
university with any other matters dealing with academic
programs and the progress thereof;
(2) the research programs within the university and their
relationship to all graduate education;
(3) student affairs within the university;
(4) personnel matters within the university.
The committee shall summarize facts and present alternatives as
necessary.
9.3 The Building and Grounds Committee shall consist of three members.
This committee shall consider:
(1) use and occupancy of university property;
(2) planning of, locating of, receiving bids for, awarding contracts
for, construction of, and maintenance of buildings, utilities, and
other physical facilities of the campus.
The committee shall summarize facts and present alternatives as
necessary.
9.4 The Finance/ and Audit Committee shall consist of three members. This
committee shall consider:
(1) the budgeting and appropriations request processes;
(2) all requests for appropriations and budgets covering
expenditures of educational and general funds and auxiliary
Appendix 4
6
programs, including, but not limited to, student housing and the
athletic department;
(3) handling of university funds, depositories, etc., whether from
appropriated or contributed funds.
(4) the auditing function of the university including, but not limited
to, annual audit plan, internal and external audit reports, risk
assessment, and audit/compliance issues.
The committee shall summarize facts and present alternatives as
necessary.
9.5 The Nominating Committee shall consist of three members. This
committee shall be appointed annually prior to the January meeting by
the chair for the purpose of nominating board officers for election at the
January meeting.
9.6 The chair of the board may at any time appoint special committees,
name the members thereof and designate the chairs. At a meeting of
the Board of Regents, not less than six members thereof may appoint
special committees, name the members thereof and designate the
chairmen. Any special committee so created by the chair or by the
Board of Regents shall be temporary and shall be charged in writing as
to its particular duties and functions and the period in which it is to
serve. Action by the chair of the board and/or six such members will be
required to extend this period.
10.Prohibiting Contracting with Board Members
The Board of Regents shall approve no contract or agreement of any character
in which a member of the board, directly or indirectly, has a pecuniary
interest, without prior advice of the general counsel. Regents must self
discloseself-disclose potential direct or indirect pecuniary interests in matters
pending before the Board of Regents. Potential transactions with relatives of
regents should also be disclosed to the general counsel for advice and
counsel to avoid any appearances of a conflict of interest.
11.Election of University President
Annually when the budget is passed, the Board of Regents shall conduct a
performance review of the president and elect the president of the university
by affirmative vote of a majority of its members. The president of the
university shall hold office without fixed term and at the pleasure of the board.
The president shall not have tenure as president, but may hold tenure as a
Appendix 4
7
member of the faculty of the university when such tenure has been approved
by the board. The president's salary shall be designated in the appointing
order.
In case a change in the presidency is made, the board will accept for
consideration suggested nominations from a screening committee
representing the board, the faculty, the staff, the Alumni Association, the
community, and the student body, which committee shall be selected by a
majority vote of the Board of Regents.
12.Authority, Duties, and Responsibilities of the University President
The president shall be responsible for developing and maintaining
excellence and efficiency within the university.
The president shall be answerable to the Board of Regents and shall have
discretionary powers broad enough to effectively administer the university
within the policies and guidelines as set forth by the Board of Regents. The
president shall have such powers as may be from time to time delegated by
the board.
The president shall be prepared to make recommendations to the board on
university matters which require board approval.
The president shall be responsible for implementing all board action items
affecting the university.
The president shall interpret the board's policies to the faculty and staff and
interpret the university's programs and needs to the board. The president
shall at all times also represent and interpret the university's programs, needs
and interests to the public.
The president shall recommend appropriate operating budgets and supervise
expenditures under approved budgets.
The president shall nominate to the board the appointment and
reappointment of all members of the faculty, administrative officers and
professional staff and recommend such individuals for promotion, retention,
or dismissal.
The president shall develop and maintain efficient personnel programs for all
employees, including faculty and administrative officers.
Appendix 4
8
The president shall ensure efficient management of business affairs and
physical property and shall recommend additions and alterations to the
physical plant.
The president shall assume active leadership in developing private fund
support for the university.
Without prior notice or hearing, the president of the university may suspend
without pay and immediately remove from the university or assign to other
duties with pay any employee, and suspend and immediately remove from
the university any student, thatwho: (1) poses a continuing danger to persons
or property; (2) disrupts the orderly operation of the university; (3) endangers
the education of students; or (4) has been convicted by a trial court of any
felony or a crime of moral turpitude. The president shall, as soon as possible,
notify the general counsel of such action. In such cases the president will set a
hearing before the appropriate administrator or committee on the employee's
or student's case as soon thereafter as is practicable unless otherwise waived
by the employee or student.
The president shall have the ultimate responsibility for the proper
administration of all university contracts, agreements, or purchases which are
delegated to the president under the board's policy.
The president is authorized to accept grants and contracts and enter into
agreements involving the furnishing of educational services with the various
agencies of the federal and state governments, foundations, and private
corporations and is authorized to advance funds as necessary to finance
federal grants and contracts which are on a reimbursement basis provided
the university will be reimbursed by the agencies for any cost resulting from
such grants or contracts.
13.Election and Duties of General Counsel
Annually when the budget is passed, the Board of Regents shall conduct a
performance review and elect the general counsel by affirmative vote of a
majority of its members. The general counsel shall hold office without fixed
term and at the pleasure of the board. The general counsel's salary shall be
designated in the appointing order.
The general counsel shall be responsible for all legal advice on all matters
related to the university. He/she shall be responsible for all legal matters with
local, state, and federal agencies and officials.
Appendix 4
9
The general counsel shall work in cooperation with the attorney general of the
state of Texas, legal counsel engaged in private practice and other legal
counsel for agencies of the state of Texas concerning matters that may affect
the university. He/she shall monitor all lawsuits brought against or for the
university and assist the attorney general's office in the preparation, trial, and
appeal of lawsuits involving the university.
The general counsel shall review all contractual obligations entered into by
the university. He/she shall make legislative interpretations and be
responsible for the compilation of all legislative statutes affecting the
university. He/she shall be responsible for the determination of student
residency classification on appeal. He/she shall perform such other duties
which are generally incumbent upon a general counsel of like boards or
which shall be delegated to him/her by the board or the president of the
university.
14.Election and Duties of the Director of Audit Services
Annually when the budget is passed, the Board of Regents shall conduct a
performance review and elect the director of Audit Services by affirmative
vote of a majority of its members. The director of Audit Services shall hold
office without fixed term and at the pleasure of the board. The director’s
salary shall be designated in the appointing order.
The director of Audit Services shall assist the board in carrying out its
oversight responsibilities as they relate to the university’s a) financial and
other reporting practices, b) internal control, and c) compliance with laws,
regulations, and ethics.
The director of Audit Services shall report on a day-to-day and functional
basis to the president of the university. The director of Audit Services shall
periodically communicate directly with the Finance and/ Audit Committee
chair. It is important that the university auditor be independent of the chief
financial and/or accounting officers to ensure independent review of the
internal control structure and the financial reporting process.
The director of Audit Services shall work in cooperation with the state
auditor’s office, independent auditors engaged in private practice, and other
auditors for entities of the state of Texas concerning matters that may affect
the university.
The director of Audit Services shall annually submit information on the annual
audit plan, work schedule, and staffing plan to the president for his review
and to the Board of Regents for their approval. The director shall submit an
Appendix 4
10
annual report as required by Art. 6252-5d, V.T.C.S., recodified atTexas
Government Code, Chapter 2102. The annual report shall be submitted to the
president and the board for review prior to public dissemination.
15.Election and Duties of the Coordinator of Board Affairs
Annually when the budget is passed, the Board of Regents shall conduct a
performance review and elect the coordinator of board affairs by affirmative
vote of a majority of its members. The coordinator of board affairs shall hold
office without fixed term and at the pleasure of the board. The salary for this
position shall be designated in the appointing order.
The coordinator of board affairs shall manage the Office of the Board of
Regents to assist in the administration of the responsibilities of the board and
facilitate the role of each regent in the discharge of his or her responsibilities.
The coordinator of board affairs shall use discretion and independent
judgment in establishing reporting mechanisms for the board, shall work
directly with the regents, president, and general counsel on a routine basis,
shall track information needs of the board and shall work as the campus
liaison for the board’s honored guests, including legislators, commencements
speakers, and other dignitaries.
Other responsibilities for the coordinator of board affairs shall include taking,
preparing and distributing meeting minutes; preparing and distributing
meeting agendas; coordinating the review and publication of board policies,
filing open meeting notices; notifying board members of all meeting dates;
administering all communications and correspondence for the board;
planning meetings, workshops, events and retreats for the board; making
travel arrangements for board members; maintaining a calendar for the
board; keeping board members apprised of upcoming events; ensuring
appropriate board representation at functions; maintaining current board
address list; and developing and maintaining the Board of Regents’ Web
page.
16.Employees Reporting to the Board of Regents
From time to time, the Board of Regents may employ other individuals who
report directly to the Board of Regents. Such employees shall hold office
without fixed term and at the pleasure of the board. The salary of such
employees shall be designated in the appointing order. Performance reviews
may be conducted by the board within its discretion.
Appendix 4
11
17.Report or Agenda for Meetings
At all regular or special meetings of the board, the president of the university
shall submit a president's report in writing. Such reports shall follow a uniform
format approved by the board, with the proposed form of recommended
board orders set out in the first section of the report, followed by sections on
faculty and staff, budgetary items, contracts, curriculum, miscellaneous items
and explanation. The latter section of the report shall set forth in reasonable
detail an explanation of each proposed board order or recommendation. All
board orders proposed in a president's report shall be drafted with clarity
and brevity to reflect, without the need to refer to extraneous sources, the
precise action ordered by the board in each instance. The drafting of
multifarious orders for board consideration shall be avoided.
A copy of the president's report shall be submitted to all members of the
board and the secretary at least ten days in advance of a meeting of the
board.
18.Order of Business
All regular and special meetings of the Board of Regents shall be as follows
unless the chair otherwise directs:
A. Approval of the minutes of the preceding meeting
B. Reports of standing committees
C. Reports of special committees
D. Other business
E. Adjournment
19.Appearance Before the Board
19.1 Special appearances as requested by the board or president: The chair
of the Board of Regents or the president (as approved by the board
chair) may invite individuals to appear before the board or one of its
committees (as approved by the committee chair) for specific
purposes. The chair of the Faculty Senate and the president of the
Student Government Association shall have the opportunity to provide
a report at each quarterly board meeting.
19.2 Requests to address the board: Requests to appear before the board to
make comments on a specific agenda item must be received by the
coordinator of board affairs in writing no later than twenty-four (24)
hours before the board meeting at which the individual wishes to
Appendix 4
12
speak. The request should set out clearly the nature of the subject
matter to be presented relating to a specific board agenda item. In
making a request to appear before the board, individuals must give
their names and any relevant title or affiliation. Comments on topics not
posted on the agenda are not allowed butComments regarding non-posted
agenda items may be submitted to the coordinator of board
affairs in writing, at any time, for distribution to the regents.
19.3 Time allocation: The board will allow up to twenty (20) minutes for
public comment per agenda item. An individual speaker will be
permitted three (3) to five (5) minutes for a presentation. The board will
allow a total of up to ninety (90) minutes for public comments per
regular quarterly meeting. Copies of speakers' comments, and/or other
written materials for distribution to the Board of Regents will be
accepted. Public comments will take place during the scheduled public
comment period at the beginning of each regular quarterly meeting.
19.4 Other meetings: While a specific period for public testimony will be
limited to the regular quarterly meetings, written comments are
welcome for any scheduled meeting of the Board of Regents. One copy
of comments may be forwarded to the Office of the Board of Regents for
distribution to the regents.
19.5 Scheduling of speakers: When the number of requests to address the
board at a given session and for a specific agenda item exceeds the
time available, requests will be approved based on the order the
written request was received by the coordinator of board affairs. If, by
virtue of time or other constraint a speaker is not able to present
his/her comments orally, said comments will be accepted in writing and
distributed to the Board of Regents at the meeting.
19.6 Special Requests: Special requests to appear before the board for
comments at times other than the regular quarterly meetings can be
submitted to the coordinator of board affairs for consideration by the
chair of the Board of Regents.
20.Annual Budget for University Operations
The president shall prepare and submit annually to the board at its April or
July meeting, as specified each year by the board, a proposed budget for the
operation of the institution for the next fiscal period. Copies of all proposed
operating budgets shall be submitted in writing to all members of the board
at least one week in advance of such meeting of the board.
Appendix 4
13
21.Monthly Financial Report of University Operations
The president of the university shall submit a monthly operating statement to
the members of the board showing balance sheet by fund groups; statement
of income; statement of expenditures, unexpended balances, encumbrances,
and unencumbered balances.
All institutional books, records, ledgers and accounts shall be kept and
maintained in conformity with recommendations of the state auditor and the
state comptroller of public accounts, subject to approval by the board.
Blanket fidelity bonds, approved by the board, shall be required to cover all
employees of institutions under the jurisdiction of the board.
22.Student Admission, Degree Requirements, Tuition and Fees
Student admission standards, entrance requirements, and degree
qualifications shall be determined and prescribed by the institution, subject to
the approval of the board. No otherwise qualified applicant for student
enrollment shall be denied admission solely on the basis of religious or racial
tests. Enrollment preference shall be given residents of the state of Texas.
Tuition, student fees, and room and board rates shall be established by the
institution, subject to legislative direction and approval by the board.
Each member of the board shall receive copies of major publications of the
university.
23.Employment of Bond Legal Counsel
The board shall employ bond counsel as appropriate to advise and represent
it in any matters.
24.Reimbursement of Expenses
Reimbursement of expenses shall be allowed members of the board for
attending regular and special meetings of the board; for visiting the university
at the request of the board or the chair of the board; for attending formal
committee meetings, and for such other special and limited purposes as the
board may expressly authorize in accordance with state regulations. Verified
Appendix 4
14
expense accounts shall be submitted to the Office of the Board of Regents for
payment and the same shall be subject to review and control by the board.
25.Use of Campus Facilities for Political Purposes
While the use of the facilities of the university for partisan political assemblies
and meetings is not normally encouraged, the faculty and administration, as
members of a learned and honorable profession, may properly exercise their
acknowledged individual rights and obligations of citizenship free of
university discipline or censorship.
Individual political candidates and their election organizations are not
permitted to reserve a university facility for campaign activities. However, if a
candidate is invited by a university group, then he or she may appear in the
facility, provided that the group extending the invitation is responsible for
reserving the facility and meeting the costs related to the event.
No member of the Board of Regents shall undertake to influence the political
opinions of personnel subject to the board's jurisdiction, but such personnel
are requested to exercise their individual rights of citizenship or academic
freedom in a responsible manner reasonably calculated not to identify or
associate with the university.
A university employee may not use his or her official authority or influence to
coerce the political action of a person or body.
26.Authority for Official Statements
The Board of Regents hereby reserves the authority and responsibility for
determining matters of policy and official statements concerning any political
or other subjects of an obviously controversial nature which represents an
official policy, statement, or position of the Board of Regents, or of the
university. Statements, policies, and positions by the Board of Regents on such
matters shall be made by the board through the chair of the board or the
president of the university. No regent, officer, faculty or staff member shall
have the authority to speak for or issue any public statements on policy for
and on behalf of the Board of Regents, or of the university, on such matters
without prior approval of the board.
Appendix 4
15
27.Naming of Buildings and Other Facilities
Buildings and other facilities (including laboratories and clinics) of Stephen F.
Austin State University may be named by the Board of Regents for deceased
persons who have made outstanding contributions to the university or its
prestige. In extraordinary circumstances, particularly when a significant
donation has been made to the university, the Board of Regents may name a
building, or other facility, for a living person.
Gift naming thresholds are outlined in the university’s Policy policy for
Naming Guidelines
(D-22). The Board of Regents retains the latitude to create alternate naming
opportunities within the discretion of the board.
Proposed names may be submitted from any source to the Office of
Development for their recommendation to the president who, if he concurs,
shall submit such names, together with background reasons, to the Board of
Regents for consideration; provided, however, that the Board of Regents may
act without receiving a nomination from the Office of Development, when
circumstances justify such action, and particularly when a substantial donation
has been made toward the construction of the building or facility to be named.
Any such nominations shall be reviewed by a committee of the board. Such
review shall take place before any contacts with prospective nominees. A
name will not be moved from one building to another, and when a building is
razed, the name will no longer be used.
A plaque shall be placed on each new building. The plaque shall show the
names of those occupying the following positions on the date of the contract
award: the officers of the Board of Regents; the remaining members of the
Board of Regents in alphabetical order; the student regent; the president of
the university; the vice president for Finance and Administration, the vice
president(s) for the area involved, the director of Physical Plant, the architect
and the contractor, together with the year the contract is awarded.
28.Provisions to Amend Rules and Avoid Conflict with Statutes
The rules and regulations herein provided may be amended by a majority
vote of members of the board at any regular meeting or at a special meeting
of the board called for that purpose. Proposed amendments shall be filed in
writing with the secretary and copies submitted to each board member at
least fifteen (15) days before the same are considered by the board.
Appendix 4
16
Should all or any part of the foregoing rules and regulations conflict with any
constitutional, statutory or legislative appropriations provisions, they shall be
amended to conform therewith.
Appendix 5
P-1
Policies for Board Review
October 18, 2011
Policy Name
Policy
Number
BOR
Cte Action/Change
Page
Number
Academic Curricula Review
and Approval
A-4 ASA Major Rewrite P - 3
Accessibility for Persons with
Disabilities
F-16 ASA
Minor wording changes and cross
referencing.
P-8
Best Value Procurement C-7 F&A Removal of wording on sealed bids. P-10
Computer and Network
Security
D-8.1 ASA Security training required annually. P-15
Discontinuance of Program or
Academic Unit
A-74 ASA
New policy derived from wording
formerly included in Tenure (E-50A)
P-18
Financial Exigency C-63 NEW
New policy derived from wording
formerly included in Tenure (E-50A)
P-19
Gift Reporting C-15 F&A
Deposit exceptions approved by VP
for Development.
P-21
Information Security for
Portable Devices
D-58 ASA New policy. P-23
Investments C-41 F&A
Revisions incorporated from 2011
legislative changes to the Public
Funds Investment Act
P-25
Professional and Consulting
Services
C-45 F&A Major rewrite. P-37
Substantive Change A-70 ASA Minor wording changes and updates. P-43
Tenure E-50A ASA
Major rewrite, including converting
two sections into two new policies
(A-74 and C-63).
P-46
Appendix 5
P-2
Policy Name
Policy
Number
BOR
Cte Action/Change
Page
Number
Travel C-49 F&A
Board members and president and
spouse are reimbursed for actual
expenses when travelling on official
business. Clarified language about
tips.
P-61
Tuition Rebate C-50 C-50
Clarification of SCHs included;
appeal period extended.
P-76
Appendix 5
P-3
Academic Curricula Curriculum Reviews, Modifications and
Approvals (A-4)
Original Implementation: October 17, 1978
Last Revision: August 26, 2008October 18, 2011
Section I
A. Introduction
It is the responsibility of each academic unit of the university to maintain a current
curriculaum for the disciplines it offers. and Academic units must engage in continuous
review of its curricula. To reach this goal, academic units will verify this objective by
conducting a formal review of curricula every three to five years. A schedule proposed by
the dean and department/school (hereafter referred to as department) chairs/directors
(hereafter referred to as chair) within each college and approved by tThe provost and vice
president for academic affairs and appropriate dean will set time lines for the
modification and approval process.
B. Curriculum Modification Procedures
When proposing changes to the curriculum, the originating department will submit its
proposal (with the appropriate approval forms) according to the steps outlined in Section
II of this policy. Curricular modifications that must follow the approval process include:
 nNew cCourses;
 mModified courses (e.g., course title, credit hours);
 nNew programs (e.g., degrees, endorsements, certificates);
 mModified programs (e.g., degrees, endorsements, certificates);
 dDeletion of courses and/or programs (e.g., degrees, endorsements, certificates);
and
 cChanges in mode of delivery such as off-campus face to face, online instruction,
and other distance delivery methods.
Forms for this purpose are available on the Provost and Vice President for Academic
Affairs web site.
C. Substantive Change
Any curricular changes that involve ―substantive change‖ as defined by the Southern
Association of Colleges and Schools Commission on CollegesTexas Higher Education
Coordinating Board or the Southern Association of Colleges and Schools Commission on
Appendix 5
P-4
Colleges must be communicated by the Office of the Provost and Vice President for
Academic Affairs to the appropriate entity and, if necessary under the rules of the entity,
be approved before implementation. For further information see the university policy on
Substantive Change (A-70)Policy A-70, Substantive Change.
Section II: Processes & Procedures For Curriculum Reviews, Modifications, &
Approvals
Forms for this purpose are available at the Academic Affairs website
http://www.sfasu.edu/acadaffairs/.
1. NEWNew,1 MODIFIEDmodified, and DELETEDdeleted Uundergraduate and
gGraduate pPrograms (degrees, endorsements, certificates) and
CHANGESchanges in mode of delivery shall be developed and submitted at the
program level, and recommended for approval by:
 Recommended approval by the Departmentacademic unit’s Curriculum
Committee;2
 Recommended approval bythe Departmentacademic unit cChair
 Recommended approval by appropriate cCouncils or cCommittees in the cCollege
[e.g., Professional Educators’ Council (A-6) for teacher certification];
 Recommended approval by appropriatethe cCollege dDean
 Recommended approval by the uUniversity Undergraduate Council or Graduate
Council. and
 Recommended approval by Council of the Deans Council.
 Approved by Provost/VPAA
 Approved by University President
 Approved by Board of Regents
 Approved by and/or appropriate notifications to the Texas Higher Education
Coordinating Board, Texas Education Agency, Southern Association of Colleges
and Schools or other appropriate outside agencies and organizations.
 Inserted into the General Bulletin or Graduate Bulletin after complete approval
by and/or notifications to all above entities
New, modified and deleted undergraduate and graduate programs and changes in mode
of delivery shall then be considered for approval by:
 the provost and vice president for academic affairs;
 the university president; and
 the Board of Regents.
Appendix 5
P-5
Where appropriate, approval will then be sought from (and/or notification will be made
to) the Texas Higher Education Coordinating Board (THECB), the Texas Education
Agency, the Southern Association of Colleges and Schools, or other outside agencies and
organizations.
Changes will be made in the General Bulletin and/or Graduate Bulletin after approval.
2. NewEW,1 modifiedMODIFIED and deletedDELETED uUndergraduate and
gGraduate mMinors, sSecond mMajors and cConcentrations shall be
developed and submitted at the program level, and recommended for approval by:
 Recommended approval by Dthe departmentacademic unit’s Curriculum
Committee:2
 Recommended approval by Dthe departmentacademic unit cChair;
 Recommended approval by appropriate cCouncils or cCommittees in the cCollege
[e.g., Professional Educators’ Council (A-6) for teacher certification];
 Recommended approval by appropriate the cCollege dDean
 Recommended approval by the uUniversity Graduate or Undergraduate Council;
and
 Recommended approval by Council of Deansthe Deans Council.
 Accepted by Provost/VPAA
 Inserted into General Bulletin or Graduate Bulletin after complete approval by
and/or notification to all above entities
New, modified and deleted undergraduate and graduate minors, second majors and
concentrations shall then be considered for approval by the provost and vice president
for academic affairs.
Changes will be made in the General Bulletin and/or Graduate Bulletin after approval.
3. NEWNew,1 MODIFIEDmodified and DELETEDdeleted Uundergraduate and
Ggraduate Ccourses shall be developed and submitted at the program level, and
recommended for approval by:
 Recommended approval by Dthe departmentacademic unit’s Curriculum
Committee;
 Recommended approval by Dthe departmentacademic unit Cchair;
 Recommended approval by appropriate Ccouncils or Ccommittees in the Ccollege
[e.g., Professional Educators’ Council (A-6) for teacher certification];
 Recommended approval by appropriate the Ccollege Ddean; and
 Recommended approval by Uthe university Undergraduate Council or Graduate
Council.
Appendix 5
P-6
 Approved by Provost/VPAA
 Approved by the University President
 Approved by Board of Regents in the case of new courses
 Approved by Texas Higher Education Coordinating Board, Texas Education
Agency State Board for Educator Certificate, Southern Association of Colleges and
Schools or other appropriate outside agencies
 Inserted into General Bulletin or Graduate Bulletinafter complete approval by
and/or notifications to all above entities
New, modified and deleted undergraduate or graduate course shall then be considered
for approval by:
 the provost and vice president for academic affairs;
 the university president; and
 the Board of Regents (new courses only).
Where appropriate, approval will then be sought from (and/or appropriate notification
will be made to) the Texas Higher education Coordinating Board, the Texas Education
Agency, the Southern Association of Colleges and Schools, or other outside agencies and
organizations.
Changes will be made in the General Bulletin and/or Graduate Bulletin after approval.
1All NEW undergraduate and graduate degree programs must follow the Texas
Higher Education Coordinating Board Policies and Procedures Manual and be
submitted on either the Format for Non-substantive or Substantive Degree Program
Requests (http://www.thecb.state.tx.us/UHRI/polprod/dp.htm)
2The Steen Library needs to know at a minimum the nature of the new program and the
content of any new courses to be offered. So, the contact needs to be made after much of
the proposal text has been developed but well enough in advance of presentation to the
campus-wide reviewing body, at a minimum, about 60 days.
Cross Reference: THECB Instructions and CIP Classification of Instructional Programs
Codes; Policy A-69, Certificate Programs (A-69); Policy A-12.1, Course Incidental Fees
(A-12.1); Policy A-24 Laboratory Fees (A-24); and Policy A-70, Substantive Change (A-
70); Academic Program Review (A-64); and Professional Educators’ Council (A-6)
Appendix 5
P-7
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: Course Proposal Forms and Laboratory/course fee request are available on the
Academic Affairs website.Forms for program revision, course proposals, substantive
change, distance education and laboratory/course fee requests are available at the
Academic Affairs website http://www.sfasu.edu/acadaffairs/.
Board Committee Assignment: Academic and Student Affairs
Appendix 5
P-8
Accessibility for Persons with Disabilities (F-16)
Original Implementation: Unpublished
Last Revision: October 14, 2008October 18, 2011
Stephen F. Austin State University does not discriminate on the basis of disability in
admission to, access to, or operations of its programs, services or activities, including
hiring or employment practices.
The university is committed to providing equal opportunities in higher education to
academically qualified students with disabilities who demonstrate a reasonable
expectation of college success. Students with disabilities who attend SFA will be
integrated as completely as reasonably possible into the university community. The
university shares responsibility with the student for modifying campus facilities and
programs to meet individual need.
Compliance with Section 504 of the Rehabilitation Act of 1973, as amended, and the
Americans with Disabilities Act, as amended, is coordinated through the office of
Disability Services. Department heads and directors in academic and non-academic
divisions have primary responsibility for providing access to programs and activities in
their respective divisions and for seeking assistance to einsure physical access to the
facilities in which those programs are offered. Disability Services works directly with
students with disabilities, individual faculty members, and academic departments in the
provision of classroom accommodations, and assists other university departments in
providing access and coordinating accommodations for programs, activities and services
offered by the university outside the classroom.
SFA will make reasonable workplace accommodations for any employee having a known
physical or mental impairment (policy E-67). Requests for employment workplace
accommodations for employees with disabilities are submitted to the director of hHuman
rResources. for faculty and staff, or to the assistant director of Career Services for student
employees, who, with assistance from Disability Services Aand a committee reviews and
recommends reasonable workplace accommodations committee if needed, makes
employment workplace accommodations based on a case-by-case basis.individual need.
Requests for housing accommodations for students with disabilities are submitted to the
director of Housing residence life, who makes housing assignments based on individual
need , with assistance from Disability Services and a review committee if needed., makes
housing assignments based on individual need.
Requests for specific persons to provide academic accommodations will be given
consideration based upon the requested person's employment qualifications and ability to
Appendix 5
P-9
satisfy uniform quality assurance standards. Persons who are involved in an ongoing
relationship with, or are related within the second degree of affinity or the third degree of
consanguinity to the student or employee with a disability, as defined by pPolicy E-33,
Nepotism, may not receive compensation for providing services to that particular student
or employee.
For specific information regarding provision of academic assistance, refer to pPolicy F-
33, Academic Accommodation of Students with Disabilities.
For specific information regarding resolution of disagreements, refer to pPolicy F-34,
Appeal Procedure Relating to the Provision of Accommodations for Students with
Disabilities.
For specific information about workplace accommodations, refer to policy E-67,
Reasonable Workplace Accommodation for Disabilities.
For information regarding discrimination or harassment refer to pPolicy E-46,
Discrimination Complaints/Sexual Harassment.
For information on the use of service animals refer to pPolicy D-3, Animals on
University Property.
Cross Reference: Appeal Procedure Relating to the Provision of Accommodations for
Students with Disabilities (F-34); Academic Accommodation of Students with
Disabilities (F-33); Reasonable Workplace Accommodation for Disabilities (E-67);
Animals on University Property (D-3); Nepotism (E-33); Compliance with the Americans
with Disabilities Act and the ADA Amendments Act (D-41); Section 504 of the
Rehabilitation Act of 1973, Pub. L. 93-112 (29 U.S.C. 701 et seq.) and the Americans
with Disabilities Act of 1990, Pub. L. 101-336 (42 U.S.C. 12101 et seq.) as amended by
the ADA Amendments Act of 2008, Pub. L. No. 110-325, 122 Stat. 3553.
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of Disability Services
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 5
P-10
Best Value Procurement (C-7)
Original Implementation: January, 1988
Last Revision: January 25, 2010October 18, 2011
PROCUREMENT PROCESSES
Stephen F. Austin State University makes purchases, not otherwise delegated through
Policy C-10, Delegated Purchasing Authority (C-10), on a best value basis through any of
the following processes. All procurement processes require Board of Regents approval
aAs per Policy D-20.5, Items Requiring Board of Regents Approval (D-20.5), some
procurements require Board of Regents approval. Historically UBunderutilized business
(HUB) Ssubcontracting Pplan requirements apply in accordance with Policy C-16.5,
Historically Underutilized Businesses (C-16.5), and state law.
A. All purchases completed with state appropriated funds must first consider making
the purchase from Texas Industries for the Blind and Handicapped (TIBH) as
mandated by Education Code Section 51.9335 to promote the purchase of goods or
services from persons with disabilities.
B. Purchases $0 - $5,000 are to be negotiated to achieve the best value for the
university.
C. The university may purchase goods or services through competitive bid
procedures with the following minimum bidder requirements. A justification must
be included in the order file if these minimums are not met.
1. $5,000.01 - $25,000.00 – Minimum three informal bids required;
minimum 50% HUB vendors including one woman-owned and one minority-owned
2. Greater than $25,000.00 – Minimum five formal bids required; minimum
50% HUB vendors including one woman-owned and one minority-owned;
Eelectronic Sstate Bbusiness Ddaily posting required unless Pprocurement
Sservices determines that no value is added by the posting.
In determining best value for Ccompetitive Ssealed Bbids, the university shall consider
best value factors identified in Education Code Section 51.9335.
D. The university may purchase goods or services through the competitive sealed
proposal process outlined in the Pprocurement Ddepartment RFP Mmanual. All
competitive sealed proposals shall include an appropriate number of solicitations to
be determined by the Procurement Departmentpurchaser, including HUB vendors of
any gender and ethnicity when identified as providing the good or service sought.
Electronic Sstate Bbusiness Ddaily posting is required, unless the Pprocurement
Departmentservices determines that no value is added by the posting.
Appendix 5
P-11
E. The university may purchase goods or services through the Request for Offer
(RFO) process established in 34 Texas Administrative Code Section 20.391 for the
acquisition of automated information systems goods and services.
F. The university may purchase goods or services through group/cooperative
purchasing programs without a solicitation process, when such purchase is deemed
to represent the best value to the university.
G. The university may purchase goods or services through State of Texas Tterm
Ccontracts, State of Texas Mmultiple Aaward Sschedules (TXMAS), and DIR/Tex-
An Ccontracts without a solicitation process, when such purchase is deemed to
represent the best value to the university.
H. The university may purchase goods or services through reverse auctions.
I. The university may purchase goods or services through contracts awarded by
other state agencies or institutions of higher education without a solicitation process
when such contracts are available and have followed approved purchasing
processes, and such purchase is deemed to represent the best value to the university.
J. The university may purchase goods or services through contracts awarded by the
Council on Competitive Government in accordance with Government Code Section
2162 without a solicitation process, when such contracts are available, and such
purchase is deemed to represent the best value to the university.
K. The university may purchase goods or services on an EMERGENCYemergency
basis. An emergency purchase is defined as a situation requiring that a procurement
be made more quickly to prevent a hazard to life, health, safety, welfare, or property
or to avoid undue additional cost to the university. A procurement may be declared
an emergency at the purchaser‘s discretion in consultation with the end user and
upon approval by the director of procurement. Declaration of an emergency
supersedes all other best value procurement rules. The university will attempt to
obtain bids, price comparisons or proposals when sufficient time exists by utilizing
the most effective procurement process, including the Eelectronic Sstate Bbusiness
Ddaily, when value is added by using such processes.
EXEMPT PURCHASES
The following purchases are exempt from best value procurement processes. Submission
of a purchase requisition and other rules may apply. Statements included below in quotes
are considered to be a part of any purchase order issued for the good or service when the
purchase order is identified as an exempt purchase.
1. Advertising
2. Hotels and meeting rooms for conferences
Appendix 5
P-12
3. Conference expenses; expenses related to conference room services such as
audio/visual/network and food services. (does not include goods purchased for
attendees or transportation services)
4. Moving expenses (employee) – — Ssee Policy C-21, Moving Expenses (C-21)
5. Student travel; expenses related to student travel
6. Library materials and services for Stephen F. Austin State University libraries, as
defined by Government Code Section 2155.139(a)(2), when such exemption
represents the best value to the university. ―Exempt library purchase in accordance
with university policy‖
7. Membership dues and associated fees
8. Direct publications only available from a single source as defined by Texas
Procurement and Support Services (TPASS) in the TPASS Procurement Manual;
i.e., hard-copy or electronic subscriptions, books, videos, software and software
maintenance direct from the publisher. ―Not available from any other source‖
9. Freight, including shipping, handling, fuel surcharge, hazardous material fee,
postage, and other surcharges
10. Intra-agency payments
11. Rental of exhibit space; i.e., booths for display purposes
12. Items for resale
13. Internal repairs – repairs for which the extent and cost of such cannot be
determined until the commodity is disassembled and evaluated. An internal repair
must contain labor and may also include parts. ―Accurate repair costs cannot be
determined until equipment is disassembled.‖
14. Purchases from federal agencies
15. Utilities, other than electricity for which SFA chose to opt into deregulation
16. Organized activity purchases – Ggoods and services for the Early Childhood Lab,
Cole Audiology Lab, Beef Farm, Poultry Farm, Equestrian Program, Broiler
Houses, and Swine Farm when the purchase directly affects operations and such
exemption represents the best value to the university. ―Exempt purchase for an
organized activity related to an instructional department in accordance with
university policy‖
17. Group travel; expenses related to group travel when such group travel includes
non-university persons and is funded by payment from individual travelers; i.e., Art
Tour
18. Gifts, prizes and awards for students, employees and non-university individuals
19. Accreditation Ffees
20. Tournament fFees or Ggame Gguarantees
21. Licensing Ffees or Ppermits
22. Employee Rregistration or Ttuition
23. Sponsorships
24. Non-travel-related meals
Appendix 5
P-13
25. Fees, not otherwise identified herein
26. Notary bonds
27. Guest lecturers, speakers, artists, entertainers, performers, musicians, etc.
28. Educational/training services for university employees
29. Veterinary services
26.30. Other professional services as defined by the state comptroller’s expenditure
codes
COMPETITIVE SEALED BID SUBMISSION, BID OPENING, AND
TABULATION
Bid Submission
1. Prospective bidders may request specific bid invitations from the Procurement
Department at any time prior to the bid opening;
2. A bidder may withdraw its bid by written request at any time prior to the bid
opening date and hour;
3. A bid received after the time and date established by the bid invitation is a late bid
and will not be considered;
4. A bid received which does not contain adequate bid identification information on
the outside of the envelope will be opened to obtain such information and will then
be processed as any other bid. If the incorrect information on the envelope causes
the bid not to be considered in making an award, the bid will be considered invalid
and rejected;
5. Bids may be submitted by facsimile (fax). The telephone number for fax bid
submission will be identified in the solicitation; no other number may be used for
bid submission. Bids submitted by fax need not be confirmed in writing, but must
comply with all legal requirements applicable to formal bids. If all or any portion of
a bid submitted by fax is received late, is illegible, or is otherwise rendered non-responsive
due to equipment failure or operator error, the bid or the applicable
portion of the bid will not be considered. The university shall not be liable for
equipment failure or operator error, nor will such failure or error require other bids
to be rejected or the bid invitation to be re-advertised.
6. Bids may be submitted by email when specific instructions regarding email
submission are included in the solicitation, or if approved by the purchaser. Bids
submitted by email need not be confirmed in writing, but must comply with all legal
requirements applicable to formal bids. If all or any portion of a bid submitted by
email is received late, is illegible, or is otherwise rendered non-responsive due to
equipment failure, operator error or email quarantine, the bid or applicable portion
of the bid will not be considered. The university shall not be liable for equipment
failure, operator error, or emails directed to email quarantine, nor will such require
Appendix 5
P-14
other bids to be rejected or the bid invitation to be re-advertised. When email
submission is allowed, all required signatures must appear on the emailed document
via scan or image attachment.
7. An unsigned bid is not valid and will be disqualified;
8. A bidder or department may request, in person at the bid opening, that bids be
read aloud. No bid shall be required to be read aloud at any time other than during
regular working hours and days;
9. When formal bids are required, bids may not be taken or accepted by telephone;
10. If an error is discovered in a bid invitation, or agency departmental requirements
change prior to the opening of a bid, the Procurement Department will transmit an
addendum correcting or changing the specifications to all bidders originally listed on
the transmission list for that bid invitation. Bids will not be rejected for failure to
return the addendum with the bid, unless otherwise noted, if the receipt of the
addendum is acknowledged on the face of the bid.
Bid opening and tabulation.
1. All bid openings conducted by the Procurement Department shall be open to the
public.
2. Bid opening dates may be changed and bid openings rescheduled if bidders are
properly notified in advance of the opening date.
3. If a bid opening is canceled, all bids which are being held for opening will be
returned to the bidders.
4. All bid tabulation files are available for public inspection. Bid tabulations may be
reviewed by any interested person during regular working hours at the offices of the
Procurement Department, or a copy may be provided. Employees of the university
are not required to give bid tabulation information by telephone.
Cross References: Items Requiring Board of Regents Approval (D-20.5); Historically
Underutilized Businesses (C-16.5); Delegated Purchasing Authority (C-10); Tex. Educ.
Code § 51.9335; 34 Tex. Admin. Code § 20.391; Tex. Gov‘t Code Ch. 2162; Tex. Gov‘t
Code § 2155.139(a)(2)
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Procurement and Property Services/HUB Coordinator
Forms: Purchase Requisition, Purchase Voucher
Board Committee Assignment: Finance and Audit
Appendix 5
P-15
Computer & Network Security (D-8.1)
Original Implementation: January 24, 1995
Last Revision: October 12, 2009October 18, 2011
Purpose
This policy establishes the conditions and security requirements for the use of computing
equipment and networks at Stephen F. Austin State University (SFA). Computing
equipment includes desktops, laptops, servers, handheld devices, and printers. In order to
comply with state requirements (Information Resources Management Act, (Tex. Gov‘t
Code § Ch. 2054,) and Texas Administrative Code, Title 1, Part 10, Chapter 202), the
director of information technology services (ITS) serves as information resources
manager for the university and the Department of ITS ensures compliance.
Scope
This policy applies at all university locations or data centers and represents the minimum
requirements that must be in place. Individual areas with computers and networks may
have additional controls and security.
Policy
1. Each vice president, dean or director shall designate department staff (not student
employees) or the technical services group of ITS as responsible for the support,
maintenance and security of the computing equipment within their purview. For
organizational units that designate local staff as their support provider, ITS shall
provide computing support guidelines specifying the level of support that ITS
shall provide as the secondary support provider.
2. Each organizational unit shall implement local security procedures to include:
a. Protection of the privacy of confidential information;
b. Protection of information against unauthorized modification;
c. Protection of systems against unauthorized access and use;
d. Display of the security banner from the ITS security web page on
organization computers;
e. Use of the university‘s central authentication source for user
authentication on servers and desktop computers, where feasible;
f. Use of the standard university antivirus software in a managed
configuration, where feasible.
3. Each organizational unit of SFA that maintains a local area network(s) must
develop a local security procedures document that is subject to approval by ITS.
In order to mitigate and manage risk, each organizational unit maintaining servers
shall participate in the annual information systems security risk assessment. The
president or designee shall make the final security risk management decisions
either to accept exposures or to protect the data according to their value or
sensitivity.
Appendix 5
P-16
4. SFA shall not be liable for the loss of data or interference with files resulting from
the university‘s efforts to maintain the privacy and security of the university‘s
computer, information, and network facilities. In order to maintain network
security, the university reserves the right to:
a. Limit, restrict, or terminate an account holder's usage;
b. Inspect, copy, remove, or otherwise alter any data, file, or system resource
that threatens the security of a system or network, with or without prior
notice to the user;
c. Check systems periodically and take the necessary actions to protect
university computers, information, and networks.
5. Individuals shall exercise responsible, ethical behavior when using the
university's information resources. The university reserves the right to limit,
restrict or extend privileges and access to its resources.
a. Access to certain university information resources is provided through the
establishment of an account. Computer accounts must be approved in
writing through the respective dean or director (or designated
representative) of the administrative unit.
b. Since the university permits access to copyrighted data through the
Internet, each user is responsible for complying with university policy D-
42, Digital Millennium Copyright. Disciplinary action, including
termination of service, may be taken on any reported copyright
infringements that have been investigated and determined valid.
c. Computer systems provided by SFA are reserved only for university-related
activities (See Chapter 39 of the Texas Penal Code for provisions
dealing with the misuse of state property). The intentional deletion or
alteration of information or data of others, intentional misuse of system
resources, and misuse of system resources by others are prohibited.
6. All users in security sensitive positions or users having access to Banner
information, other than their own personal information, shall complete online
security awareness training annually. Online security awareness training is
considered complete once the user has scored a minimum of 80% on the security
awareness quiz.
6.7.Each user is responsible for complying with university policies F-40, Acceptable
Use of Information Resources and D-43, Computing Software Copyright.
Sanctions for Policy Violations
Violations of any provision of this policy may result in, but are not limited to:
a. a limitation on a user's access to some or all university computer systems;
b. the initiation of legal action by the university;
c. restitution by the violator for any improper use of service;
d. disciplinary sanctions, which may include dismissal.
Many academic courses and work-related activities require the use of computers,
networks, and systems of the university. In the event of an imposed restriction or
Appendix 5
P-17
termination of access to some or all university computers and systems, a user enrolled in
courses or involved in computer related work activities may be required to use alternative
facilities. However, users are advised that if alternative facilities are unavailable or not
feasible, users are responsible for the failure to complete requirements for course work or
work responsibilities.
Cross Reference: University Policies: Acceptable Use of Information Resources (F-40);,
Computing Software Copyright (D-43);, and Digital Millennium Copyright Policy (D-
42); Texas Information Resources Management Act; ,

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Stephen F. Austin State University MINUTES OF THE BOARD OF REGENTS Nacogdoches, Texas October 17 and 18, 2011 Volume 271 TABLE OF CONTENTS BOARD MINUTES FOR OCTOBER 17-18, 2011 MEETING 271 Page APPROVAL OF MINUTES Board Order 12-01 Approval of July 18 and 19, 2011 Board Minutes ...............................................................3 PERSONNEL Board Order 12-02 Faculty Appointments for 2011-2012 ..................................................................................3 Staff Appointments for 2011-2012 ......................................................................................5 Changes of Status for 2011-2012 .........................................................................................7 Retirements ....................................................................................................................11 Tenure ....................................................................................................................11 ACADEMIC AND STUDENT AFFAIRS Board Order 12-03 Approval of Small Size Class List for Summer and Fall 2011 ..........................................12 European Studies Consortium............................................................................................12 Approval for Transfer of Biotechnology Program into Department of Biology ...............12 Academic and Student Affairs Policy Revisions ...............................................................13 BUILDING AND GROUNDS Board Order 12-04 Antenna Lease Contract with New Cingular Wireless PCS ..............................................13 Parking Garage Equipment Replacement ..........................................................................13 FINANCIAL AFFAIRS Board Order 12-05 Grant Awards ....................................................................................................................14 Establishment of a Quasi-Endowment for the College of Liberal and Applied Arts ........14 Establishment of a Quasi-Endowment from the Norman H. Kiess Estate Bequest ...........15 Financial Affairs Policy Revisions ....................................................................................15 Approval of the Annual Audit Plan, Audit Charter and Report ........................................15 Board Order 12-06 Merit Payment for Stephen F. Austin State University Faculty and Staff .........................16 BOARD RULES AND REGULATIONS Board Order 12-07 Revisions to Board Rules and Regulations ........................................................................16 REPORTS President Audit Services Report Faculty Senate Student Government Association Board Special Committee for Athletic Attendance APPOINTMENT OF 2012 BOARD NOMINATING COMMITTEE MINUTES FOR APPROVAL July 18 and 19, 2011, Board Meetings APPENDICES Appendix 1 – Small Size Class List for Summer and Fall 2011 Appendix 2 – Grant Awards Appendix 3 – Audit Charter Appendix 4 – Board Rules and Regulations Appendix 5 – Policy Revisions Academic and Student Affairs Committee: Academic Curricula Review and Approval (A-4) Accessibility for Persons with Disabilities (F-16) Computer and Network Security (D-8.1) Discontinuance of Program (A-74) NEW Information Security for Portable Devices (D-58) NEW Substantive Change (A-70) Tenure (E-50A) Tuition Rebate (C-50) Finance and Audit Committee: Best Value Procurement (C-7) Financial Exigency (C-63) NEW Gift Reporting (C-15) Investments (C-41) Professional and Consulting Services (C-45) Travel (C-49) -1- Stephen F. Austin State University Minutes of the Meeting of the Board of Regents Nacogdoches, Texas October 17 and 18, 2011 Austin Building 307 Meeting 271 Monday, October 17, 2011 The regular meeting of the Board of Regents was called to order in open session at 8:14 a.m. on Monday, October 17, 2011, in the Austin Building Board Room by Chair Bob Garrett. PRESENT: Board Members: Mr. Bob Garrett, Chair Mr. Carlos Amaral Dr. Scott Coleman Mr. James Dickerson Ms. Sarah Feye Ms. Brigettee Henderson Mr. Steve McCarty Mr. Ken Schaefer Mr. Ralph Todd Ms. Connie Ware President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick Other SFA administrators, staff, and visitors Chair Garrett called for an executive session to consider the following items: Consideration of Individual Personnel Matters Relating to Appointment, Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee, including but not limited to men’s basketball coaches, executive director of marketing and public affairs, vice presidents and the president. (551.074) -2- Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations (551.073) Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated Litigation or Settlement Offers including, but not limited to, reported complaints, EEOC filings, tenure, Regents Rules and Regulations, intercollegiate athletics and intellectual property. (551.071) The board reconvened in open session at 11:48 and recessed for lunch, moved back into executive session following the lunch break and reconvened in open session at 4:15 p.m., recessing for committee meetings. The Finance and Audit Committee met from 4:23 p.m. to 4:35 p.m. The Building and Grounds Committee met from 4:35 p.m. to 4:47 p.m. The Finance and Audit Committee met again from 4:47 p.m. to 5:18 p.m. The Academic and Student Affairs Committee met from 5:18 p.m. to 6:16 p.m. The board meeting reconvened in open session at 6:16 p.m. and recessed for the evening at 6:25 p.m. with no further action. Tuesday, October 18, 2011 The chair reconvened the board meeting in open session at 9:10 a.m. on Tuesday, October 18, 2011. PRESENT: Board Members: Mr. Bob Garrett, Chair Mr. Carlos Amaral Dr. Scott Coleman Ms. Sarah Feye Ms. Brigettee Henderson Mr. Steve McCarty Mr. Ken Schaefer Mr. Ralph Todd Ms. Connie Ware President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick Other SFA administrators, staff, and visitors -3- Regent James Dickerson was absent due to illness. Regent Ken Schaefer led the pledge to the flags and Regent Todd provided the invocation. RECOGNITIONS Dr. Ric Berry introduced faculty from the College of Liberal Arts who hosted a Transatlantic Conference with the University of St. Thomas in Houston and grant recipients in the Perkins College of Education. Dr. Steve Westbrook introduced Students in Service, the Parents Day planning team, Peer Involvement Advisors, and the SFA Veterans Workgroup. APPROVAL OF MINUTES BOARD ORDER 12-01 Upon motion by Regent McCarty, seconded by Regent Coleman, with all members voting aye, it was ordered that the minutes of the July 18 and 19, 2011 regular meeting of the Board of Regents be approved as presented. PERSONNEL BOARD ORDER 12-02 Upon motion by Regent Amaral, seconded by Regent Ware, with all members voting aye, it was ordered that the following personnel items be approved: FACULTY APPOINTMENTS FOR 2011 – 2012 BUSINESS Geralyn Franklin, Associate Dean of the Rusche College of Business, Ph.D. (University of North Texas), at an annual salary of $126,000 for 100 percent time, effective September 1, 2011. Marie Kelly, Lecturer of Accounting, M.B.A. (Stephen F. Austin State University), at an academic year salary of $40,000 for 100 percent time, effective September 1, 2011. EDUCATION Adam Akerson, Instructor of Elementary Education, M.Ed. (Lamar University), at an academic year salary of $50,000 for 100 percent time, effective September 1, 2011, contingent upon completion of doctorate by May 31, 2012. -4- Todd Barrios, Clinical Instructor of Human Sciences, M.S. (Northwestern State University), at an academic year salary of $48,000 for 100 percent time, effective September 1, 2011. Susan Casey, Assistant Professor of Elementary Education, Ed.D. (North Texas University), at an academic year salary of $51,000 for 100 percent time, effective September 1, 2011. Adrian Decker, Visiting Instructor of Elementary Education, M.Ed. (Texas A&M University), at an academic year salary of $40,000 for 100 percent time, effective September 1, 2011. Nina Ellis-Hervey, Assistant Professor of Human Services, Ph.D. (Oklahoma State University), at an academic year salary of $62,000 for 100 percent time, effective September 1, 2011. Tracy Hallak, Instructor of Human Services, M.Ed. (Stephen F. Austin State University), at an academic year salary of $48,000 for 100 percent time, effective September 1, 2011. Natalie Hensarling, Assistant Professor of Human Sciences, M.S. (Stephen F. Austin State University), at an academic year salary of $55,000 for 100 percent time, effective January 1, 2012, contingent upon completion of doctorate by May 31, 2012. Carolyn Stufft, Instructor of Elementary Education, M.Ed. (Stephen F. Austin State University), at an academic year salary of $49,000 for 100 percent time, effective September 1, 2011, contingent upon completion of doctorate by May 31, 2017. FINE ARTS Eduardo Ortiz, Visiting Assistant Professor of Art, MFA. (Savannah College of Art and Design), at an academic year salary of $42,000 for 100 percent time, effective September 1, 2011. David Studwell, Visiting Assistant Professor of Theatre, MFA. (Purdue University), at an academic year salary of $44,500 for 100 percent time, effective September 1, 2011. LIBERAL AND APPLIED ARTS Ronnie Michael Booker, Visiting Assistant Professor of History, Ph.D. (University of Tennessee), at an academic year salary of $45,000 for 100 percent time, effective September 1, 2011. -5- Tom McKinney, Visiting Assistant Professor of History, Ph.D. (University of Houston), at an academic year salary of $45,000 for 100 percent time, effective September 1, 2011. Colin Snider, Visiting Assistant Professor of History, Ph.D. (University of New Mexico), at an academic year salary of $45,000 for 100 percent time, effective September 1, 2011. SCIENCES AND MATHEMATICS Erin Fucik, Lab Coordinator of Biology, M.S. (Stephen F. Austin State University), at an academic year salary of $35,000 for 100 percent time, effective September 1, 2011. Shelley Hunt, Clinical Instructor of Nursing, M.S.N. (University of Texas) at an academic year salary of $54,000 for 100 percent time, effective September 1, 2011. Janet King, Clinical Instructor of Nursing, M.S.N. (University of Texas) at an academic year salary of $54,000 for 100 percent time, effective September 1, 2011. Kellie Morse, Clinical Instructor of Nursing, M.S. (Stephen F. Austin State University) at an academic year salary of $42,000 for 100 percent time, effective September 1, 2011. Justin Sullivan, Lab Coordinator of Biology, M.S. (Stephen F. Austin State University) at an academic year salary of $35,000 for 100 percent time, effective September 1, 2011. STAFF APPOINTMENTS FOR 2011 – 2012 ADMISSIONS Lauren Garcia, Admissions Counselor, at an annual salary of $32,150 for 100 percent time, effective August 1, 2011. Vivian Kempt, Admissions Counselor, at an annual salary of $32,150 for 100 percent time, effective August 1, 2011. ATHLETICS Cody Clark, Assistant Track Coach, at a 10.5 month salary of $26,719 for 100 percent time, effective August 8, 2011. -6- Jeremy Hadar, Coordinator of Athletic Video Production, at an annual salary of $45,000 for 100 percent time, effective August 15, 2011. Daniel J. Kaspar, Head Men’s Basketball Coach, approval of contract addendum to the existing three year contract, at an annual base salary of $129,150 for 100 percent time, effective September 1, 2011. Amber Lemke, Head Bowling Coach, at a 10.5 month salary of $32,000 for 100 percent time, effective August 8, 2011. Robert McDermand, Director of Athletic Academic Services, at an annual salary of $47,000 for 100 percent time, effective July 18, 2011. Eleanor Meek, Assistant Track Coach, at a 10.5 month salary of $25,783 for 100 percent time, effective September 1, 2011. Kelly Tarrant, Assistant Soccer Coach, at a 10.5 month salary of $24,720 for 100 percent time, effective July 25, 2011. COUNSELING AND CAREER SERVICES Jennifer Klingenberg, Counselor, at an annual salary of $40,000 for 100 percent time, effective July 25, 2011. John Mlinar, Career Counselor and Research Coordinator, at an annual salary of $40,000 for 100 percent time, effective August 15, 2011. EDUCATION Jennifer Bailey, Associate Director for Project ENLACE in Secondary Education, at an annual salary of $65,000 for 100 percent time, effective September 1, 2011. Sandra Delgado, Associate Projector Director for CTE Grant in Human Sciences, at an annual salary of $75,000 for 100 percent time, effective June 16, 2011. Lori Hines, Teacher in Charter School, at an academic year salary of $52,500 for 100 percent time, effective September 1, 2011. Kelly Jobe, Clinical Audiologist in Human Services, at an annual salary of $74,000 for 100 percent time, effective August 1, 2011. Claire Miller, Teacher in Charter School, at an academic year salary of $37,200 for 100 percent time, effective September 1, 2011. -7- FORESTRY AND AGRICULTURE Christopher Koffskey, Beef Farm Supervisor, at an annual salary of $38,802 for 100 percent time, effective July 11, 2011. Zushang Su, Research Associate Medicinal Plants, at an annual salary of $32,000 for 100 percent time, effective July 25, 2011. MULTICULTURAL AFFAIRS Amanda Flores, Assistant Director of Multicultural Center, at an annual salary of $38,000 for 100 percent time, effective July 25, 2011. RESIDENCE LIFE Kayla Bankhead, Hall Director, at an annual salary of $28,000 for 100 percent time, effective August 15, 2011. Erica Crafton, Hall Director, at an annual salary of $28,500 for 100 percent time, effective August 15, 2011. Hayley Landry, Hall Director, at an annual salary of $28,000 for 100 percent time, effective August 15, 2011. SCIENCES AND MATHEMATICS Mary Childs, Research Associate STEM Center, at an annual salary of $38,000 for 100 percent time, effective September 1, 2011. CHANGES OF STATUS FOR 2010 – 2011 ACADEMIC AFFAIRS Mary Nelle Brunson, from Associate Vice President for Academic Affairs at an annual salary of $135,000 for 100 percent time, to Associate Provost and Dean of the Graduate School at an annual salary of $135,000 for 100 percent time, effective August 1, 2011. ATHLETICS Alexis Majors, from Academic Advisor in the College of Business at an annual salary of $35,000 for 100 percent time, to Athletic Academic Services Assistant at an annual salary of $36,000 for 100 percent time, effective July 19, 2011. Nathan Schneider, from Athletic Academic Services Assistant at an annual salary of $35,000 for 100 percent time, to Athletic Academic Services Assistant with -8- additional duties at an annual salary of $40,000 for 100 percent time, effective September 1, 2011. BUSINESS Carl Dunn, from Instructor of General Business at an academic year salary of $33,000 for 100 percent time, to Lecturer of General Business at an academic salary of $33,000 for 100 percent time, effective September 1, 2011. Laura Turner, from Financial Aid Officer at an annual salary of $35,477 for 100 percent time, to Academic Advisor at an annual salary of $36,000 for 100 percent time, effective August 22, 2011. Carol Wright, from Lecturer of General Business at an academic year salary of $37,000 for 100 percent time, to Instructor of General Business at an academic year salary of $37,000 for 100 percent time, effective September 1, 2011. DISABILITY SERVICES Daphne Curl, from Disability Services Exam Coordinator at an annual salary of $38,813 for 100 percent time, to Testing Services Manager at an annual salary of $45,000 for 100 percent time, effective August 22, 2011. EDUCATION Sandra Delgado, from Associate Project Director CTE in Human Sciences at an annual salary of $75,000 for 100 percent time, to Associate Project Director CTE in Human Sciences at an annual salary of $75,000 for two months, effective September 1, 2011. Delbert Lloyd Graves, from Adjunct Faculty in Kinesiology and Health Science at a 5-month salary of $9,167 for 92 percent time, to Visiting Lecturer of Kinesiology and Health Science at an academic year salary of $45,000 for 100 percent time, effective September 1, 2011. Gloria Gresham, from Associate Professor of Secondary Education at an academic year salary of $54,794 for 100 percent time, to Associate Professor of Elementary Education at an academic year salary of $57,244 for 100 percent time, effective September 1, 2011. Tracey Hasbun, from Instructor of Elementary Education at an academic year salary of $47,411 for 100 percent time, to Co-Coordinator NCATE and Instructor of Elementary Education at an annual salary of $47,411 with an additional $500 per month stipend for 12 months, effective September 1, 2011. -9- Stacy Hendricks, from Project Coordinator CERT Prep and Project Director Deep East Texas at an annual salary of $61,000 for 100 percent time, to Assistant Professor of Secondary Education at an academic year salary of $51,300 for 100 percent time, effective September 1, 2011. Jennifer Kennon, from Lecturer of Human Services at an academic year salary of $43,500 for 100 percent time, to Instructor of Human Services at an academic year salary of $45,357 for 100 percent time, effective September 1, 2011. Michael Munro, from Clinical Instructor of Human Services at an academic year salary of $48,549 for 100 percent time, to Instructor of Human Services at an academic year salary of $48,549 for 100 percent time, effective September 1, 2011. Tara Ann Newman, from Assistant Professor of Human Sciences at an academic year salary of $47,895 for 100 percent time, to Assistant Professor of Human Sciences and Director QEP at an academic year salary of $47,895 for 100 percent time with an additional $803.33 per month stipend for nine months, effective September 1, 2011. Emily Wilson, from Teacher in Early Childhood Laboratory at an annual salary of $38,984 for 100 percent time, to Master Teacher in Early Childhood Laboratory at an annual salary of $46,732 for 100 percent time, effective July 21, 2011. ENVIRONMENTAL HEALTH, SAFETY AND RISK MANAGEMENT Sonja Hendry, from Contracting Specialist in Procurement at an annual salary of $38,736 for 100 percent time, to Safety Officer at an annual salary of $47,000 for 100 percent time, effective August 15, 2011. FINE ARTS Jackie Rosenfield, from Visiting Lecturer in Theatre at an academic year salary of $38,000 for 100 percent time, to Senior Lecturer in Theatre at an academic year salary of $38,000 for 100 percent time, effective September 1, 2011. Christopher Talbot, from Associate Professor of Art, at an academic year salary of $56,673 for 100 percent time, to Interim Director of the School of Art and Associate Professor of Art, at an annual salary of $56,673 for 100 percent time with an additional stipend of $6,797 for one month and $500 per month for nine months, effective September 1, 2011. -10- INFORMATION TECHNOLOGY Earl Forney, from Administrator Database II at an annual salary of $48,000 for 100 percent time, to Administrator Database III at an annual salary of $52,000 for 100 percent time, effective September 1, 2011. LIBERAL AND APPLIED ARTS Darrell McDonald, from Professor of Social and Cultural Analysis at an academic year salary of $67,258 for 100 percent time, to Professor of Social and Cultural Analysis at an academic year salary of $78,000 for 100 percent time, effective September 1, 2011. Emmerentie Oliphant, from Associate Professor of Social Work at an academic year salary of $58,794 for 100 percent time, to Associate Professor of Social Work and Master of Social Work Director at an 11 month salary of $70,794 for 100 percent time, effective September 1, 2011. ORIENTATION Brooke Rodine, from Assistant Director of Orientation at an annual salary of $38,813 for 100 percent time, to Director of Orientation at an annual salary of $45,000 for 100 percent time, effective August 1, 2011. PINEYWOODS AREA HEALTH EDUCATION CENTER Randall Mark Scott, from Coordinator AHEC at an annual salary of $34,421 for 100 percent time, to Interim Director AHEC at an annual salary of $34,421 for 100 percent time with a $1,000 per month additional stipend for interim duties for four months, effective September 1, 2011. PRINTING SERVICES Rebecca Galatas, from Administrative Assistant at an annual salary of $28,427 for 100 percent time, to Interim Director of Printing Services at an annual salary of $28,427 for 100 percent time with an additional stipend of $400 per month for 12 months for interim duties, effective September 1, 2011. PUBLIC AFFAIRS Robin Johnson, from Internal Communication Specialist at an annual salary of $36,750 for 100 percent time, to Publication Specialist at an annual salary of $39,500 for 100 percent time, effective June 20, 2011. Shirley Luna, from Associate Director of Media Relations at an annual salary of $63,502 for 100 percent time, to Interim Executive Director of Public Affairs at -11- an annual salary of $63,502 for 100 percent time with an additional monthly stipend of $2,000 for two months in FY2011 and 12 months in FY2012, effective July 22, 2011, Kayli Steger, from Marketing Communication Assistant at an annual salary of $35,800 for 100 percent time, to Internal Communication Specialist at an annual salary of $36,000 for 100 percent time, effective July 18, 2011. SCIENCES AND MATHEMATICS Angela Johnson, from Lab Coordinator of Biology at an academic year salary of $35,285 for 100 percent time, to Lecturer of Biology at an academic year salary of $38,500 for 100 percent time, effective September 1, 2011. Tami Putnam, from Casual Employee in Nursing at a salary of $19.80 per hour, to Project Coordinator in Nursing at an annual salary of $41,200 for 100 percent time, effective August 2, 2011. RETIREMENTS The following retirements were accepted: Julia Ballenger, Professor of Secondary Education, effective August 31, 2011. Paul Blackwell, Director of Columbia Center, effective August 31, 2011. Bobby Bryant, Professor of Human Services, effective August 31, 2011. Mary Burton, Manager of ITS Operations, effective August 31, 2011. Jean Eldred, Associate Professor of Communication and Contemporary Culture, effective July 31, 2011. Donna Franklin, Safety Officer, effective August 31, 2011. Janis Ritter, Director of Pineywoods Area Health Education Center, effective August 31, 2011. Catherine Simkunas, Assistant Director Testing Services, effective August 31, 2011. TENURE Academic tenure was awarded to Dr. Geralyn Franklin, College of Business, effective fall semester, 2011. -12- ACADEMIC AND STUDENT AFFAIRS BOARD ORDER 12-03 Upon motion by Regent Amaral, seconded by Regent Henderson, with all members voting aye, it was ordered that the following Academic and Student Affairs items be approved. APPROVAL OF SMALL SIZE CLASS LIST FOR SUMMER AND FALL 2011 WHEREAS, board members considered the following: Texas Higher Education Coordinating Board rules require that all regular organized undergraduate classes with fewer than ten students enrolled and regular graduate classes with fewer than five students enrolled be approved by the Board of Regents. Under policies established by the THECB, such classes can only be taught for specific reasons, such as the course being needed for students to meet graduation requirements, etc. Courses for summer and fall 2011 are listed in Appendix 1. THEREFORE, the summer and fall 2011 small class list was approved, as presented in Appendix 1. EUROPEAN STUDIES CONSORTIUM WHEREAS, board members considered the following: The European Studies Consortium (ESC) led by Stephen F. Austin State University is comprised of public and private institutions of higher education committed to the joint development and sponsorship of faculty and student program in and related to Europe. The aims of the ESC are to involve larger numbers of faculty and students in international and cross-cultural learning experiences related to Europe. Courses will be offered in consortial arrangements with enrollments from several campuses. In a given semester, enrollments of SFA students may be fewer than ten in an undergraduate class or fewer than five in a graduate class. THEREFORE, the Board of Regents acknowledged and approved the small size classes that may result from participation in the European Studies Consortium. APPROVAL OF TRANSFER OF BIOTECHNOLOGY PROGRAM INTO THE DEPARTMENT OF BIOLOGY WHEREAS, board members considered the following: The Division of Biotechnology was created in 1995 as a stand-alone unit in the College of Sciences and Mathematics. It has been very productive in terms of graduating students and collaborating with the University of Texas Health Science Center in delivering the Master of Science in Biotechnology Curriculum. The size of the faculty and staff has remained quite small and the administration believes that merging the biotechnology program into the Department of Biology will achieve efficiencies and create new opportunities for collaborations within the College of Sciences and Mathematics. -13- THEREFORE, the Board of Regents approved the move the of biotechnology program into the Department of Biology. ACADEMIC AND STUDENT AFFAIRS POLICY REVISIONS The Board of Regents adopted the following policy revisions as presented in Appendix 5: Academic Curricula Review and Approval (A-4) Accessibility for Persons with Disabilities (F-16) Computer and Network Security (D-8.1) Discontinuance of Program (A-74) NEW Information Security for Portable Devices (D-58) NEW Substantive Change (A-70) Tenure (E-50A) Tuition Rebate (C-50) BUILDING AND GROUNDS AFFAIRS BOARD ORDER 12-04 Upon motion by Regent McCarty, seconded by Regent Todd, with all members voting aye, it was ordered that the following Building and Grounds Affairs items be approved: ANTENNA LEASE CONTRACT WITH NEW CINGULAR WIRELESS PCS WHEREAS, board members considered the following: New Cingular Wireless PCS wishes to lease roof space to place a cellular antenna on the roof of Griffith Hall. The antenna will strengthen the cellular coverage for the campus community THEREFORE, the Board of Regents approved the contract with New Cingular Wireless PCS to place a cellular antenna on the roof of Griffith Hall at an initial lease amount of $60,000 annually, subject to periodic increases, for a maximum term of 26 years. The president was authorized to sign the lease contract. PARKING GARAGE EQUIPMENT REPLACEMENT WHEREAS, board members considered the following: The Student Center Parking Garage serves as a gateway to SFA for visitors and prospective students attending events in the student center and visiting other parts of campus. A reliable controlled access system is critical for effective management of daily event and contract parking. The existing equipment has become unreliable and requires replacement. THEREFORE, the Board of Regents approved the replacement of the access control system in the Student Center Parking Garage at a cost not to exceed $200,000. The source of funds will be University Affairs Renewal and Replacement. The president was authorized to sign any necessary contracts. -14- FINANCIAL AFFAIRS BOARD ORDER 12-05 Upon motion by Regent Coleman, seconded by Regent Ware, with all members voting aye, the following Financial Affairs items were approved: GRANT AWARDS WHEREAS, board members considered the following: Fiscal year 2011 - The university received multi-year grant awards totaling $45,823,555 (amended) that included funds allocable to fiscal year 2011. This includes $121,984 in new awards since the last report. Of the multi-year total, grant awards allocable to fiscal year 2011 were $19,042,283, an increase of $112,226 since the last report. Fiscal year 2012 - To date, the university has received multi-year grant awards totaling $38,599,157 that include funds allocable to fiscal year 2012. This includes $2,779,666 in new awards since the last report. Of the multi-year total, grant awards allocable to fiscal year 2012 are $13,121,491, an increase of $3,633,189 since the last report. The grant awards result from extensive faculty research and service engagement across many academic disciplines. The grants include direct federal, federal pass through, state and private awards. THEREFORE, the above described grant awards were approved and ratified, including grant awards allocable to fiscal year 2011 that total $112,226 and additional grant awards allocable to fiscal year 2012 that total $3,633,189. This also included approval of a $159,334 subaward to the Lone Star College System to coordinate statewide professional development activities for the Advanced Technical Credit project funded through the Texas Education Agency. The grant awards are detailed in Appendix 2. ESTABLISHMENT OF A QUASI-ENDOWMENT FOR THE COLLEGE OF LIBERAL AND APPLIED ARTS WHEREAS, board members considered the following: The university received a $70,000 unrestricted gift for the College of Liberal and Applied Arts. The use of the funds may be designated by the university. THEREFORE, the Board of Regents approved the establishment of a College of Liberal and Applied Arts Quasi-Endowment with the initial gift of $70,000. The Quasi-Endowment will be used to support academic programs in the College of Liberal and Applied Arts. -15- ESTABLISHMENT OF A QUASI-ENDOWMENT FROM THE NORMAN H. KIESS ESTATE BEQUEST WHEREAS, board members considered the following: Norman H. Kiess served as an associate professor of physics at Stephen F. Austin College from approximately 1963- 1966. He died on January 5, 2009. In his Last Will and Testament, he bequeathed a portion of his estate to Stephen F. Austin State University. The $15,150 estate distribution was unrestricted. The use of the funds may be designated by the university. THEREFORE, the Board of Regents approved the establishment of the Norman H. Kiess Faculty Quasi-Endowment with the estate distribution of $15,150. The Quasi- Endowment will be used for faculty support in the physics department. POLICY REVISIONS The Board of Regents adopted the following policy revisions as presented in Appendix 5: Best Value Procurement (C-7) Financial Exigency (C-63) NEW Gift Reporting (C-15) Investments (C-41) Professional and Consulting Services (C-45) Travel (C-49) APPROVAL OF ANNUAL AUDIT PLAN, AUDIT CHARTER AND REPORT WHEREAS, the board members considered the following: According to the Rules and Regulations of the Board of Regents, the director of audit services shall annually submit information on the annual audit plan, work schedule and staffing plan to the president for his review and to the Board of Regents for their approval. The director shall submit an annual report as required by Art. 6252-5d, V.T.C.S., recodified at Government Code, Chapter 2101. The annual report shall be submitted to the president and the board for review prior to public dissemination. In addition, the International Standards for the Professional Practice of Internal Auditing require the internal audit charter to be approved on an annual basis. It is included as Appendix 3. THEREFORE, the Board of Regents approved the annual audit plan and report and the audit charter as presented. -16- BOARD ORDER 12-06 Upon motion by Regent Coleman, seconded by Regent Amaral, with all members voting aye, the following Financial Affairs item was approved: WHEREAS, board members considered the following: Initiative #2 of the Stephen F. Austin Strategic Plan is to improve faculty and staff compensation, recognition and support. As a consequence of state funding reductions, the university was unable to award increases to base salary for fiscal year 2012. However, to recognize the value and achievements of the faculty and staff, the administration wishes to provide a one-time merit payments to deserving faculty and staff. THEREFORE, the Board of Regents authorized the president to provide a one-time $500 merit payment to eligible employees. Merit will be awarded based on university policy and employment status. BOARD RULES AND REGULATIONS BOARD ORDER 12-07 Upon motion by Regent Coleman, seconded by Regent Schaefer, with all members voting aye, the proposed revisions to the Rules and Regulations of the Board of Regents were adopted as presented in Appendix 4. REPORTS Baker Pattillo gave a report on the following topics: SFA Flag Southland Conference Homecoming Tyler Rose Parade Upcoming Dates London Band Trip Gina Oglesbee gave a quarterly audit report on the following topics: TAC 202 Information Technology Security Review Travel Audit Follow-up Review of Outstanding Management Action Plans Update on Audit Plan David Howard, chair of the faculty senate, gave a presentation on “Inspired Teaching.” Sydni Mitchell, president of the Student Government Association, gave a report on the following topics: Veterans Resource Center Update Transportation on Campus Sustainability on Campus Student Center Advisory Board “What’s Your Big Idea for 2012?” -17- Steve McCarty introduced a report from the Board Special Committee for Athletic Attendance. APPOINTMENT OF NOMINATING COMMITTEE Bob Garrett made the following appointments to the Board Nominating Committee for 2012: Chair Steve McCarty, James Dickerson and Ralph Todd. The meeting was adjourned at 11:12 a.m. Appendix 1 Texas Higher Education Coordinating Board Rules Currently in Effect (9-2006) Chapter 5. Rules Applying to Public Universities and/or Health-Related Institutions of Higher Education in Texas Subchapter B. Role and Mission, Tables of Programs, Course Inventory §5.23 Definitions §5.23.5 Organized classes--Classes whose primary mode of instruction is lecture, laboratory, or seminar. §5.23.8 Small classes--Undergraduate level classes with less than 10 registrations, and graduate level classes with less than five registrations. §5.26 Offering of Small Classes by Public Universities In accordance with Texas Education Code, §51.403(d), public universities may offer organized small classes which: §51.403(d.1) have been approved by the governing board of the university; §51.403(d.2) is a required course for graduation (the course is not offered each semester or term, and, if canceled, may affect the date of graduation of those enrolled); §51.403(d.3) is a required course for majors in this field and should be completed this semester (or term) to keep proper sequence in courses; §51.403(d.4) is a course in a newly established degree program, concentration, or support area; §51.403(d.5) is part of an interdepartmental (cross-listed) course taught as a single class by the same faculty at the same station, provided that the combined enrollments do not constitute a small class; §51.403(d.6) is a first-time offering of the course; §51.403(d.7) is class size-limited by accreditation or state licensing standards; §51.403(d.8) is class size-limited by availability of laboratory or clinical facilities; or §51.403(d.9) is voluntarily offered by a faculty member in excess of the institutional teaching load requirement and for which the faculty member receives no additional compensation. Source Note: The provisions of this §5.26 adopted to be effective May 28, 2003, 28 TexReg 4124 Appendix 1 SMALL CLASSES SUMMER 2011 Course Information Section Title Number Enrolled Credit Hour Value Total Credit Hours Texas Education Code Offering Compliance COU 533 001 Counseling Skills & Tech 4 3 12 §51.403 (d.3) EPS 675 020 Special Problems 1 3 3 §51.403 (d.9) GIS 464 001 GIS for Water Resources 5 3 15 §51.403 (d.6, 4) GIS 464 001 GIS for Water Resources 5 3 15 §51.403 (d.6, 4) GIS 564 001 GIS for Water Resources 1 3 3 §51.403 (d.6) GIS 564 001 GIS for Water Resources 1 3 3 §51.403 (d.6) PLS 317 001 Applied Agriculture Data Appl 5 2 10 §51.403 (d.2) PLS 317 020 Applied Agriculture Data Appl 5 2 10 §51.403 (d.2) CJS 213 001 Civil Procedure 8 3 24 §51.403 (d.3) BIO 370 001 Evolution 8 3 24 §51.403 (d.2) CHE 505 001 Advanced Chemical Concepts 4 3 12 §51.403 (d.2, 3) MTH 311 001 Intro to Modern Mathematics 5 3 15 §51.403 (d.3) MTH 098 001 Introductory Algebra 9 3 27 §51.403 (d.2) PHY 410 001 Experimental Techniques in Phy 9 4 36 §51.403 (d.2) Total Estimated Credit Hours in Small Classes 209 Total Estimated Credit Hours Summer 2011 22,062 Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours 0.95% Date: _________________ Approval: _________________________________________________________ Appendix 1 SMALL CLASSES FALL 2011 Course Information Section Title Number Enrolled Credit Hour Value Total Credit Hours Texas Education Code Offering Compliance CSC 342 001 Algorithm Analysis 9 3 27 §51.403 (d.2, 3) CSC 442 001 Organization Programming Langs 7 3 21 §51.403 (d.2) CSC 455 001 Enterprise Security 5 3 15 §51.403 (d.2, 4) FIN 490 001 Student Invest Roundtable 6 3 18 §51.403 (d.4) FIN 590 001 Adv Student Invest Roundtable 2 3 6 §51.403 (d.4) EPS 675 001 Special Problems 4 3 12 §51.403 (d.9) HMS 333 201 Apparel II 1 3 3 §51.403 (d.1) KIN 200 017 Physical Fitness Training 7 2 14 §51.403 (d.9) SPE 442 601 Visual & Multiple Imp 2 3 6 §51.403 (d.1) KIN 200 017 Physical Fitness Training 7 2 14 §51.403 (d.9) MUT 350 501 Multimedia Sound Techniques 5 3 15 §51.403 (d.2) FOR 304 001 Arboriculture 8 3 24 §51.403 (d.3) FOR 317 001 Forest Biometrics II 6 3 18 §51.403 (d.3) FOR 347 001 Silviculture 6 3 18 §51.403 (d.3) FOR 451 001 Mgmt of Outdoor Rec Area 7 3 21 §51.403 (d.2) FOR 458 001 Forest Resource Mgmt 8 4 32 §51.403 (d.2) HRT 325 001 Design Applic. Software I CAD 9 2 18 §51.403 (d.2) HRT 325 020 Dsgn App. Software I CAD-Lab 9 1 9 §51.403 (d.2) AAS 498 090 Senior Seminar 5 3 15 §51.403 (d.6) MCM 456 001 Adv Television Production 8 3 24 §51.403 (d.2) MCM 456 020 Adv Television Production 8 3 24 §51.403 (d.2) MCM 478 001 Advanced Advertising I 6 3 18 §51.403 (d.6) PSC 305 001 Appellate Advocacy I 1 3 3 §51.403 (d.9) BIO 449 001 Animal Histology 8 4 32 §51.403 (d.2) BIO 470 001 Seminar in Biology 8 1 8 §51.403 (d.2) CHE 241 001 Inorganic Chemistry 7 3 21 §51.403 (d.2, 3, 9) CHE 511 001 Advanced Organic Chemistry 4 3 12 §51.403 (d.2, 3, 9) MTH 345 001 Math for the Sec Sch Teacher 3 3 9 §51.403 (d.2, 3, 9) MTH 539 001 Real Analysis I 3 3 9 §51.403 (d.2, 3) PHY 431 001 Intro to Quantum Mechanics 8 3 24 §51.403 (d.2) STA 320 001 Statistical Methods 9 3 27 §51.403 (d.2) STA 522 001 Regression Analysis 3 3 9 §51.403 (d.2, 3) STA 525 001 Applied Nonparametric Stats 4 3 12 §51.403 (d.2, 3) Total Estimated Credit Hours in Small Classes 538 Total Estimated Credit Hours Fall 2011 157,783 Estimated Small Class Credit Hours as a Percentage of SFA Total Credit Hours 0.34% Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 1 Summary Report – Fiscal Year 2011 New Current Year Awards (this period) – as of August 31, 2011 Subtotal direct federal $20,960 Subtotal federal pass-through $76,741 Subtotal state and state pass-through $ 2,000 Subtotal private and local government $12,525 Total new awards (this period) $ 121,984 Total current year awards for grants active in 2011 $19,042,283 Total awards (all years) for grants active in 2011 $45,823,555 New, Additional, or Previously Unreported Awards for FY 2011 Direct Federal Awards *Habitat Occupancy and Origins of American Woodcock Wintering in East Texas FY 2011 Award: $12,960 Total Award: $69,984 (Grant) Sponsor: U.S. Department of the Interior - FWS Term (this action): June 29, 2011 – December 31, 2012 Description: The purpose of this grant is to “link habitat suitability, use and quality with American woodcock occupancy and density by large scale habitat-cover types during winter in East Texas” and to identify geographic linkages and connectivity between seasonal ranges through isotope analysis. PI/PD: Dr. Warren Conway, School of Forestry *More Bugs in the Woods (FY 11) FY 2011 Award: $8,000 Total Award: $8,000 (Challenge Cost-share Agreement) Sponsor: U.S. Department of Agriculture (USFS) Term (this action): June 22, 2011 – September 30, 2011 Description: This partnership agreement adds conservation education programs, including iTREE and PollinatorLIVE!, supports the Latino Legacy Youth in Nature leadership Challenge, and provides assistance with weekend conservation education programs at Scott’s Ridge Recreation Area in the Sam Houston National Forest and the Jones State Forest in Conroe. PI/PD: Dr. David Kulhavy, School of Forestry Subtotal Current Year Awards (this report) = $20,960 Subtotal New Direct Federal Awards (total award) = $77,984 Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 2 Federal Pass-through Awards *Final Stretch Scholarship Grant Program FY 2011 Award: $36,000 Total Award: $36,000 (Grant) Sponsor: TX Higher Education Coordinating Bd. (U.S. Dept. of Education) Term (this action): May 1, 2011 – June 30, 2011 Description: Final Stretch, provided through the federal College Access Challenge Grant, is a “one-time, need-based grant of $2,000 for Pell grant eligible students who enroll in a summer 2011 term.” PI/PD: Mike O’Rear, Financial Aid Previously Described Awards State of Texas Special Education Recruitment and Retention (FY 11) FY 2011 Award: $26,133 (additional award) Total Award: $35,000 Special Education Consolidated Grant (IDEA-B) FY 11 FY 2011 Award: $4,858 (additional award) Total Award: $30,108 Visually Impaired Preparation (VIP) Program FY 11 FY 2011 Award: $10,000 (additional award) Total Award: $497,000 MLK Day of Service FY 11 FY 2011 Award: $-250 (award reduction) Total Award: $750 Subtotal Current Year Awards (this report) = $76,741 Subtotal New Federal Pass-through Awards (total award) = $36,000 State and State Pass-through Awards *Edge of Life: Forestry Pathology Art FY 2011: $2,000 Total Award: $2,000 (Grant) Sponsor: Texas Commission on the Arts Term (this action): April 1. 2011 – August 31, 2011 Description: This grant provides funding for the transport and installation of the Edge of Life Exhibit, created with an SFA Faculty Research Grant and initially exhibited at the Cole Art Center, for an exhibit at the University of North Texas Eagle Exhibit Hall. PI/PD: Dr. Michelle Rozic, School of Art and Dr. David Kulhavy, School of Forestry Subtotal Current Year Awards (this report) = $2,000 Subtotal New State/State Pass-through Awards (total award) = $2,000 Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 3 Private and Local Government Awards *Visual Impairment Module Development FY 2011 Award: $6,000 Total Award: $6,000 (Fixed Price Agreement) Sponsor: Region 11 Education Service Center Term (this action): December 8, 2010 – August 31, 2011 Description: This agreement provides funds to plan and develop online modules in the area of visual impairments. PI/PD: Dr. Dixie Mercer, Department of Human Services Previously Described Awards AHEC Special Projects FY 2011 Award: $6,525 (additional award) Total Award: $56,435 Subtotal Current Year Awards (this report) = $12,525 Subtotal New Private/Local Government Awards (total award) = $6,000 Update - Fiscal Year 2012 New Current Year Awards (this period) – as of September 19, 2011 Subtotal direct federal $ 258,997 Subtotal federal pass-through $1,063,183 Subtotal state and state pass-through $2,298,983 Subtotal private and local government $ 12,026 Total new awards (this period) $ 2,779,666 Total current year awards for grants active in 2012 $13,121,491 Total awards (all years, to date) for grants active in 2012 $38,599,157 Direct Federal Awards *Talented Teaches in Training for Texas (T4) FY 2012 Award: $126,966 Total Award: $1,449,996 (Grant) Sponsor: National Science Foundation Term (this action): September 1, 2011 – August 31, 2016 Description: The goals of the T4 project are 1) to increase the capacity of Science, Technology, Engineering and Mathematics (STEM) teaching majors and 2) to study the development of a research-based model for strengthening the STEM teacher pipeline. PI/PD: Dr. Lesa Beverly, Department of Mathematics and Statistics Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 4 *Environmental Availability of Lead and Use in Moist-soil Management to Attract Waterfowl on the Texas NWRs FY 2012 Award: $46,907 Total Award: $109,450 (Cooperative Agreement) Sponsor: U.S. Department of the Interior - FWS Term (this action): September 2, 2011 – December 30, 2013 Description: Funds are provided to evaluate the environmental availability of lead shot, model impacts of lead exposure on the mottled duck population, and study various plant species in the Texas Midcoast National, the Texas Chenier Plain, and the Aransas National Wildlife Refuge complexes. PI/PD: Dr. Warren Conway, School of Forestry *50th Anniversary Video: Mcintire-Stennis Cooperative Research Program FY 2012 Award: $15,000 Total Award: $15,000 (Grant) Sponsor: U.S. Department of the Agriculture (NIFA) Term (this action): August 15, 2011 – August 14, 2012 Description: This award provides funds for the production of a digital video, “A Driving Force in Developing the Nation’s Forests: The McIntire-Stennis Cooperative Forestry Research Program,” that will highlight the McIntire-Stennis Program’s history and significant accomplishments, PI/PD: Dr. Steven Bullard, College of Forestry and Agriculture *Protecting Cultural Resources at Glen Canyon NRA FY 2012 Award: $22,500 Total Award: $30,000 (Task Agreement) Sponsor: U.S. Department of the Interior - NPS Term (this action): August 31, 2011 – December 31, 2012 Description: This project is to develop a Glen Canyon National Recreation Area/Rainbow Bridge National Monument strategy for the protection of cultural resources along the shoreline of Lake Powell, Utah. PI/PD: Dr. Theresa Coble, School of Forestry Previously Described Awards Habitat Occupancy and Origins of American Woodcock Wintering in East Texas FY 2012 Award: $51,624 Total Award: $69,984 Orientation and Mobility for the Blind Training Program FY 2012 Award: -$4,000 (reduction) Total Award: $496,000 Subtotal Current Year Awards (this report) = $258,997 Subtotal New Direct Federal Awards (total award) = $1,604,446 Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 5 Federal Pass-through Awards * Visually Impaired Preparation (VIP) Program FY 12 FY 2012 Award: $487,000 Total Award: $487,000 (Interagency Agreement - renewal) Sponsor: Texas Dept. of Assistive and Rehabilitative Services (U.S. Department of Education) Term (this action): September 1, 2011 – August 31, 2012 Description: SFA will prepare or begin to prepare 32 new professionals taking coursework leading to endorsement in visual impairment or Academy for Certification of Vision Rehabilitation and Education Professionals certification in Orientation and Mobility. PI/PD: Dr. Dixie Mercer, Department of Human Services * Career and Technical Education State Leadership Project – ATC Professional Development Accountability System FY12 FY 2012 Award: $350,000 Total Award: $350,000 (Grant - continuing) Sponsor: Texas Education Agency (U.S. Dept. of Education) Term (this action): September 1, 2011 – August 31, 2012 Subawards: $159,334 – A subaward to the Lone Star College System (LSCS) is approved by the sponsor as part of the grant application. LSCS will provide Part II of the TEA required in-service teacher training, quarterly ATC Leadership Committee meetings, and the revision of the ATC Course Crosswalk for the 2012-13 school year. Description: Funds are provided to continue support of the statewide Advanced Technical Credit (ATC) Program by determining and recording the eligibility of secondary teachers to teach courses for articulated college credit, facilitating secondary-to- postsecondary course alignment, and training of secondary subject-area teachers. PI/PD: Dr. Judy Abbott, College of Education * Child Welfare Professional Development Program FY 12 FY 2012 Award: $146,834 Total Award: $146,834 (Interagency Agreement - renewal) Sponsor: TX Dept. of Family and Protective Services (U.S. Dept. of Health and Human Services) Term (this action): July 1, 2011 – June 30, 2012 Description: The purpose of this federally funded program is to provide a staff development and training program that supports the goals in the Child and Family Services state plan for Title IV-E training, which include enhancing the skills of CPS workers through education in social work and providing opportunities for ongoing foster parent and staff training. PI/PD: Becky Price-Mayo, School of Social Work * Geriatric Education Center (GEC) FY 12 FY 2012 Award: $21,600 Total Award: $21,600 (Subcontract- renewal) Sponsor: U.T. Medical Branch - Galveston (U.S. Dept. of Health and Human Services) Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 6 Term (this action): July 1, 2011 – June 30, 2012 Description: The purpose of this federally sponsored program is to help provide high-quality, continuing education in geriatrics and to improve health care for older adults including those in rural communities. PI/PD: Mark Scott, Piney Woods AHEC, College of Sciences and Mathematics Previously Described Awards Encouraging the College Bound into Healthcare Occupations (ECHO) FY 2011 Award: $33,949 Total Award: $35,435 StateView Program Development and Operations for the State of Texas FY 2012 Award: $23,800 Total Award: $95,941 Subtotal Current Year Awards (this report) = $1,063,183 Subtotal New Federal Pass-through Awards (total award) = $1,005,434 State and State Pass-through Awards * Piney Woods Area Health Education Center (AHEC) FY12 FY 2012 Award: $113,760 Total Award: $113,760 (Contract - renewal)) Sponsor: U.T. Medical Branch - Galveston Term (this action): September 1, 2011 – December 30, 2012 Description: The purpose of this ongoing project is to build and maintain an integrated, community-based, regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Mark Scott, Piney Woods AHEC, College of Sciences and Mathematics * Disability - Reader Services FY 12 FY 2012 Award: $16,000 Total Award: $32,000 (Interagency Agreement - renewal) Sponsor: TX Dept. Assistive & Rehabilitative Services Term (this action): September 1, 2011 – December 30, 2013 Description: Funds are provided for reader services for students with disabilities. PI/PD: Chuck Lopez, Disability Services * State of Texas Assessments of Academic Readiness (STAAR) – Algebra II and English III FY 2012 Award: $12,000 Total Award: $12,000 (Interagency Contract) Sponsor: Texas Higher Education Coordinating Board Term (this action): August 1, 2011 – April 30, 2012 Description: In coordination with Pearson LPC, SFA will identify and recruit up to 120 entering students who graduated from Texas public schools in the spring of 2011 to participate in a research study by administering the STAAR Algebra II and English III reading and writing assessments. PI/PD: Chuck Lopez, Testing Services Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 7 Previously Described Awards Stephen F. Austin State University Charter School FY 2010 Budget: $1,846,267 Total to date: $6,418,418 Systemic Texas Educator Preparation Sites (STEPS) for College and Career Readiness Demonstration Project FY 2012 Award: $262,500 Total Award: $825,000 Disability Interpreter Services FY 12 FY 2012 Award: $35,000 Total Award: $140,000 Joint Admissions Medical Program (JAMP) FY 12 FY 2012 Award: $13,456 Total Award: $29,457 Subtotal Current Year Awards (this report) = $2,298,983 Subtotal New State/State Pass-through Awards (total award) = $157,760 Private and Local Government Awards *Study Abroad Program to Montreal, Quebec and Ottawa, Ontario FY 2012 Award: $10,226 Total Award: $10,226 (Grant) Sponsor: Department of Foreign Affairs and International Trade Government of Canada Term (this action): May 17, 2011 – April 20, 2012 Description: Funds from this Student Mobility Support Program are provided to support a significant study abroad experience that is imbedded in upper level courses at SFA for fifteen political science and/or French majors and minors. PI/PD: Dr. Steven Galatas, Department of Government and Dr. Joyce Johnston, Department of Modern Languages *Tournées Festival Film Program FY 2012 Award: $1,800 Total Award: $1,800 (Grant - renewal) Sponsor: French-American Cultural Exchange Term (this action): September 1, 2011 – August 31, 2012 Description: This award supports the screening of contemporary French cinema on the SFA campus. PI/PD: Dr. Joyce Johnston, Department of Modern Languages Subtotal Current Year Awards (this report) = $12,026 Subtotal New Private and Local Government Awards (total award) = $12,026 Note: Appendix 2 Grants awarded between June 20, 2011 and September 19, 2011 *New awards Prepared by the Office of Research & Sponsored Programs 8 Amounts are based on award notices as they are received from the funding agency, not expenditures or balances in funds/accounts. Some current year awards are estimates based on the total amount awarded spread over the award period. Does not include non-grant financial aid or gift accounts. Appendix 3 1 STEPHEN F. AUSTIN STATE UNIVERSITY DEPARTMENT OF AUDIT SERVICES INTERNAL AUDIT CHARTER October 18, 2011 Purpose Internal auditing is an independent, objective assurance and consulting activity designed to add value and improve the university’s operations. It helps the university accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. The purpose of the Department of Audit Services is to provide the Board of Regents and the president an independent appraisal of the adequacy and the effectiveness of the university's system of internal administrative and accounting controls and the quality of performance when compared with established standards. The primary objective is to assist the Board of Regents, the president and university management in the effective discharge of their responsibilities. Authority The Department of Audit Services is an integral part of Stephen F. Austin State University and functions within established policies. The director of audit services reports functionally to the Board of Regents and administratively to the president. The Department of Audit Services will have unrestricted access to all university activities; records, both manual and electronic; property; and personnel relevant to any area being reviewed. Members of the audit services' staff will handle all documents and other information acquired in the course of their duties prudently. Standards and Independence The department will operate within the guidelines of the Texas Internal Auditing Act (Article 6252 – 5d., V.A.C.S.), the Institute of Internal Auditors (IIA) Professional Practices Framework which includes the Definition of Appendix 3 2 Internal Auditing, the Code of Ethics, and the International Standards for the Professional Practice of Internal Auditing as mandatory guidance. In addition, where applicable the department will follow Generally Accepted Government Auditing Standards (GAGAS). The department’s internal auditors will uphold the principles of integrity, objectivity, confidentiality, and competency. Internal auditors will be independent of the activities or operations they review; they will not engage in any activity which would impair their independence. Responsibility The Department of Audit Services will fulfill its responsibility to the board and the president by: developing an audit plan based on a risk analysis which includes consideration of the university’s goals and objectives and the concerns of management and the board. providing audit coverage that consistently meets the needs and expectations of management following up on identified weaknesses, findings and recommendations from previous audit work participating in a program of quality assurance designed to ensure the increasing professionalism of the department and standard of the work performed performing consulting services including advisory and related service activities, the nature and scope of which are agreed upon and which are intended to add value and improve the university’s governance, risk management, and control processes without assuming management responsibility. Examples include counsel, advice, facilitation, training, and committee service. Annually the director of audit services will submit information on the annual audit plan, work schedule, and staffing plan to the president for his review and to the Board of Regents for their approval. Quarterly the director will provide activity reports to the president and the board detailing progress against the annual audit plan, audit accomplishments, and highlights of any significant audit findings and recommendations. The director of audit services will submit reports as required to the state auditor’s office, governor’s office, Legislative Budget Board and Sunset Advisory Commission. The scope of audit activities will include all controls, reports and operations of the university. The Department of Audit Services will examine and evaluate: Appendix 3 3 The reliability and integrity of financial and operating information and the means used to identify, measure, classify and report information. The systems established to ensure compliance with policies, plans, procedures, laws and regulations that could have a significant impact on the university. The means of safeguarding assets and verifying their existence. The economy and the efficiency with which resources are employed. The extent to which the operations and programs of the university are consistent with its objectives and goals. The ethics objectives and activities of the university. The potential for fraud and the management of fraud risk. Appendix 4 1 RULES AND REGULATIONS BOARD OF REGENTS STEPHEN F. AUSTIN STATE UNIVERSITY (Amended December 18, 2009October 18, 2011) 1. Composition of Board The Board of Regents, Stephen F. Austin State University, is composed of nine members who are appointed by the governor of Texas, with the advice and consent of the senate. Three members of the board are appointed biennially to serve for terms of six years. The board is charged with the responsibility of performing those duties which are delegated to it by the legislature. The board has no authority except as delegated to it by law. Knowledge of the limitations of its authority is imputed to all persons, firms and corporations dealing with the board. 2. Non-Voting Student Regent Annually on June 1, a student regent shall be appointed by the governor to serve a one-year term expiring on the following May 31. The student regent must be enrolled as an undergraduate or graduate student at Stephen F. Austin State University at the time of appointment and throughout the student regent’s term. The student regent must remain in good academic standing and maintain at least a 2.5 GPA. The student regent is not a member of the Board of Regents of Stephen F. Austin State University. The student regent has the same powers and duties as the members of the Board of Regents, including the right to attend and participate in meetings of the Board of Regents, except that the student regent may not vote on any matter before the board or make or second any motion before the board. The student regent is not counted in determining whether a quorum exists for a meeting of the board or in determining the outcome of any vote of the board. 3. Office of the Board of Regents The Office of the Board of Regents is located in the Austin Building, Room 308. The mailing address is PO Box 13026 – SFA Station, Nacogdoches, TX 75962- 3026. The office is staffed by the coordinator of board affairs. Appendix 4 2 4. Setting of Meetings The Board of Regents shall convene annually in Nacogdoches, Texas, in the month of April, which meeting shall be known as the annual meeting. All meetings of the board shall conform to the terms of the Texas Open Meetings Act, Ch. 551 Tex. Gov. Code. Regular meetings of the board shall be held quarterly at such time and place as a majority of the board shall determine. The board shall set regular quarterly meeting dates one year in advance, usually in January, April, July and October, which may be changed by consensus of the board due to unanticipated needs. Special meetings of the board may be called by the chair, or by a majority of the members of the board. Telephone conference meetings may be called when circumstances dictate that immediate action would be in the best interest of the universityis required or whenand it is difficult or impossible to convene a quorum in a single location. Telephone conference meetings shall be restricted to special meetings of the board. All meetings of the Board of Regents shall be open to the public. Executive sessions of the board may be held with the consent of a majority of those members present and as authorized by law. A majority of the members of the board or committee membership shall constitute a quorum. Ex-officio members shall be counted for purposes of determining a quorum. Proxies shall not be recognized. No formal action shall be taken by the board or committee of the board in the absence of a quorum. 5. Designation of Officers The officers of the board shall include a chair, a vice chair, a secretary, and such other officers as may from time to time be elected or appointed. 6. Election of Chair and Authorization of Duties At the January meeting of the board, and as the last order of business, there shall be elected from the membership of the board a chair, who shall take office at the start of business during the official, formal meeting of the full board in April and shall serve through the beginning of business at the formal meeting of the full board in April of the following year. In the event the chair’s term of office as regent expires prior to the conclusion of his/her service as chair, the chair-elect shall immediately take office upon such expiration and serve for the remainder of the previous chair’s term and his/her elected term; Appendix 4 3 however if the chair is reappointed to a new term as regent, he/she shall complete the elected term of office. No member shall serve more than two consecutive elected terms as chair unless the members shall re-elect such member for each term after the two consecutive terms by a vote of at least six (6) members. In the event of a chair's death or resignation, the vice chair shall serve as chair of the board until the next annual meeting. The chair of the board shall preside at all meetings of the board which he/she attends. He/she will be responsible for the agendas of the meetings of the board. He/she shall have the authority to call special meetings of the board, as herein provided. He/she shall be an ex officio member of all committees of the board and shall be in addition to the membership prescribed in Section 9 of these Rules. He/she shall deliver to each new board member immediately upon such person's appointment by the governor a copy of the regents' Rules and Regulations and a copy of the organization of principal administrative offices of the university. Parliamentary procedure in board meetings will generally conform to Roberts' Rules of Order, Newly Revised, when not in conflict with board rules. The chair shall, in the name of the board, formally execute all contracts and documents authorized by resolutions of the board unless otherwise authorized to be signed by the president, and perform such other duties as are generally imposed on a chair of the board. 7. Election of Vice Chair and Authorization of Duties A vice chair shall be elected from the membership of the board immediately following the election of a chair at the January meeting and shall take office at the start of business during the official, formal meeting of the full board in April and shall serve through the beginning of business at the formal meeting of the full board in April of the following year. In the event the vice chair’s term of office as regent expires prior to the conclusion of his/her service as vice chair, the vice chair-elect shall immediately take office upon such expiration and serve for the remainder of the previous vice chair’s term and his/her elected term; however if the vice chair is reappointed to a new term as regent, he/she shall complete the elected term of office. Appendix 4 4 No member shall serve more than two consecutive elected terms as vice chair unless the members shall re-elect such member for each term after the two consecutive terms by a vote of at least six (6) members. The vice chair shall preside over meetings of the board in the absence of the chair, and shall succeed to the rights and powers of the chair in the event he/she is absent from the state or is unable to act because of disqualification, or because of physical disability as determined by the board. The vice chair shall perform such other duties as may be delegated to him/her by the board. In the event of the death, resignation, or assumption of chair duties by the vice chair, the secretary shall serve as vice chair, as well as secretary, until the beginning of business at the formal meeting of the full board at the next April meeting. 8. Election of Secretary and Authorization of Duties The board shall select a secretary from the membership of the board, immediately following election of a vice chair at the January meeting, who shall take office at the start of business during the official, formal meeting of the full board in April and who shall serve through the beginning of business at the formal meeting of the full board in April of the following year. In the event the secretary’s term of office as regent expires prior to the conclusion of his/her service as secretary, the secretary-elect shall immediately take office upon such expiration and serve for the remainder of the previous secretary’s term and his/her elected term; however if the secretary is reappointed to a new term as regent, he/she shall complete the elected term of office. The secretary shall ensure that preparation for all meetings of the board, including such notices as required by law are made. The secretary or other officers shall attend all open meetings of the board and ensure that accurate records of all open meetings are kept. He/she shall ensure that all parties affected by the actions of the board are notified. He/she shall provide oversight to the coordinator of board affairs who shall be responsible for all records of the board and all documentary files thereof. He/she shall ensure that the coordinator of board affairs keep the official copy of the regents' Rules and Regulations. Said copy shall contain all current rules and regulations as set by the Board of Regents. Any changes or additions thereto shall be entered in the official copy and such changes and additions shall be furnished to members of the board and officers of the university as designated by the president. The coordinator of board affairs shall assist the secretary in performing the duties of his/her office. Appendix 4 5 9. Committees of the Board The chair of the board shall appoint at the annual meeting of the Board of Regents or soon thereafter all committee members and shall designate a chair of each committee except as otherwise provided herein. The chair of the board may further remove, replace, or appoint members in the event of a vacancy. 9.1 The Executive Committee shall consist of the chair of the board, the vice chair of the board, and one other member appointed by the chair. Two members present shall constitute a quorum. The chair of the board shall serve as chair of this committee. This committee shall serve as an advisory committee and review and make recommendations to the full board on any matter related to the governance, control and direction of the policies of the university. 9.2 The Academic and Student Affairs Committee shall consist of three members. This committee shall consider: (1) the curricula of the various colleges and departments of the university with any other matters dealing with academic programs and the progress thereof; (2) the research programs within the university and their relationship to all graduate education; (3) student affairs within the university; (4) personnel matters within the university. The committee shall summarize facts and present alternatives as necessary. 9.3 The Building and Grounds Committee shall consist of three members. This committee shall consider: (1) use and occupancy of university property; (2) planning of, locating of, receiving bids for, awarding contracts for, construction of, and maintenance of buildings, utilities, and other physical facilities of the campus. The committee shall summarize facts and present alternatives as necessary. 9.4 The Finance/ and Audit Committee shall consist of three members. This committee shall consider: (1) the budgeting and appropriations request processes; (2) all requests for appropriations and budgets covering expenditures of educational and general funds and auxiliary Appendix 4 6 programs, including, but not limited to, student housing and the athletic department; (3) handling of university funds, depositories, etc., whether from appropriated or contributed funds. (4) the auditing function of the university including, but not limited to, annual audit plan, internal and external audit reports, risk assessment, and audit/compliance issues. The committee shall summarize facts and present alternatives as necessary. 9.5 The Nominating Committee shall consist of three members. This committee shall be appointed annually prior to the January meeting by the chair for the purpose of nominating board officers for election at the January meeting. 9.6 The chair of the board may at any time appoint special committees, name the members thereof and designate the chairs. At a meeting of the Board of Regents, not less than six members thereof may appoint special committees, name the members thereof and designate the chairmen. Any special committee so created by the chair or by the Board of Regents shall be temporary and shall be charged in writing as to its particular duties and functions and the period in which it is to serve. Action by the chair of the board and/or six such members will be required to extend this period. 10.Prohibiting Contracting with Board Members The Board of Regents shall approve no contract or agreement of any character in which a member of the board, directly or indirectly, has a pecuniary interest, without prior advice of the general counsel. Regents must self discloseself-disclose potential direct or indirect pecuniary interests in matters pending before the Board of Regents. Potential transactions with relatives of regents should also be disclosed to the general counsel for advice and counsel to avoid any appearances of a conflict of interest. 11.Election of University President Annually when the budget is passed, the Board of Regents shall conduct a performance review of the president and elect the president of the university by affirmative vote of a majority of its members. The president of the university shall hold office without fixed term and at the pleasure of the board. The president shall not have tenure as president, but may hold tenure as a Appendix 4 7 member of the faculty of the university when such tenure has been approved by the board. The president's salary shall be designated in the appointing order. In case a change in the presidency is made, the board will accept for consideration suggested nominations from a screening committee representing the board, the faculty, the staff, the Alumni Association, the community, and the student body, which committee shall be selected by a majority vote of the Board of Regents. 12.Authority, Duties, and Responsibilities of the University President The president shall be responsible for developing and maintaining excellence and efficiency within the university. The president shall be answerable to the Board of Regents and shall have discretionary powers broad enough to effectively administer the university within the policies and guidelines as set forth by the Board of Regents. The president shall have such powers as may be from time to time delegated by the board. The president shall be prepared to make recommendations to the board on university matters which require board approval. The president shall be responsible for implementing all board action items affecting the university. The president shall interpret the board's policies to the faculty and staff and interpret the university's programs and needs to the board. The president shall at all times also represent and interpret the university's programs, needs and interests to the public. The president shall recommend appropriate operating budgets and supervise expenditures under approved budgets. The president shall nominate to the board the appointment and reappointment of all members of the faculty, administrative officers and professional staff and recommend such individuals for promotion, retention, or dismissal. The president shall develop and maintain efficient personnel programs for all employees, including faculty and administrative officers. Appendix 4 8 The president shall ensure efficient management of business affairs and physical property and shall recommend additions and alterations to the physical plant. The president shall assume active leadership in developing private fund support for the university. Without prior notice or hearing, the president of the university may suspend without pay and immediately remove from the university or assign to other duties with pay any employee, and suspend and immediately remove from the university any student, thatwho: (1) poses a continuing danger to persons or property; (2) disrupts the orderly operation of the university; (3) endangers the education of students; or (4) has been convicted by a trial court of any felony or a crime of moral turpitude. The president shall, as soon as possible, notify the general counsel of such action. In such cases the president will set a hearing before the appropriate administrator or committee on the employee's or student's case as soon thereafter as is practicable unless otherwise waived by the employee or student. The president shall have the ultimate responsibility for the proper administration of all university contracts, agreements, or purchases which are delegated to the president under the board's policy. The president is authorized to accept grants and contracts and enter into agreements involving the furnishing of educational services with the various agencies of the federal and state governments, foundations, and private corporations and is authorized to advance funds as necessary to finance federal grants and contracts which are on a reimbursement basis provided the university will be reimbursed by the agencies for any cost resulting from such grants or contracts. 13.Election and Duties of General Counsel Annually when the budget is passed, the Board of Regents shall conduct a performance review and elect the general counsel by affirmative vote of a majority of its members. The general counsel shall hold office without fixed term and at the pleasure of the board. The general counsel's salary shall be designated in the appointing order. The general counsel shall be responsible for all legal advice on all matters related to the university. He/she shall be responsible for all legal matters with local, state, and federal agencies and officials. Appendix 4 9 The general counsel shall work in cooperation with the attorney general of the state of Texas, legal counsel engaged in private practice and other legal counsel for agencies of the state of Texas concerning matters that may affect the university. He/she shall monitor all lawsuits brought against or for the university and assist the attorney general's office in the preparation, trial, and appeal of lawsuits involving the university. The general counsel shall review all contractual obligations entered into by the university. He/she shall make legislative interpretations and be responsible for the compilation of all legislative statutes affecting the university. He/she shall be responsible for the determination of student residency classification on appeal. He/she shall perform such other duties which are generally incumbent upon a general counsel of like boards or which shall be delegated to him/her by the board or the president of the university. 14.Election and Duties of the Director of Audit Services Annually when the budget is passed, the Board of Regents shall conduct a performance review and elect the director of Audit Services by affirmative vote of a majority of its members. The director of Audit Services shall hold office without fixed term and at the pleasure of the board. The director’s salary shall be designated in the appointing order. The director of Audit Services shall assist the board in carrying out its oversight responsibilities as they relate to the university’s a) financial and other reporting practices, b) internal control, and c) compliance with laws, regulations, and ethics. The director of Audit Services shall report on a day-to-day and functional basis to the president of the university. The director of Audit Services shall periodically communicate directly with the Finance and/ Audit Committee chair. It is important that the university auditor be independent of the chief financial and/or accounting officers to ensure independent review of the internal control structure and the financial reporting process. The director of Audit Services shall work in cooperation with the state auditor’s office, independent auditors engaged in private practice, and other auditors for entities of the state of Texas concerning matters that may affect the university. The director of Audit Services shall annually submit information on the annual audit plan, work schedule, and staffing plan to the president for his review and to the Board of Regents for their approval. The director shall submit an Appendix 4 10 annual report as required by Art. 6252-5d, V.T.C.S., recodified atTexas Government Code, Chapter 2102. The annual report shall be submitted to the president and the board for review prior to public dissemination. 15.Election and Duties of the Coordinator of Board Affairs Annually when the budget is passed, the Board of Regents shall conduct a performance review and elect the coordinator of board affairs by affirmative vote of a majority of its members. The coordinator of board affairs shall hold office without fixed term and at the pleasure of the board. The salary for this position shall be designated in the appointing order. The coordinator of board affairs shall manage the Office of the Board of Regents to assist in the administration of the responsibilities of the board and facilitate the role of each regent in the discharge of his or her responsibilities. The coordinator of board affairs shall use discretion and independent judgment in establishing reporting mechanisms for the board, shall work directly with the regents, president, and general counsel on a routine basis, shall track information needs of the board and shall work as the campus liaison for the board’s honored guests, including legislators, commencements speakers, and other dignitaries. Other responsibilities for the coordinator of board affairs shall include taking, preparing and distributing meeting minutes; preparing and distributing meeting agendas; coordinating the review and publication of board policies, filing open meeting notices; notifying board members of all meeting dates; administering all communications and correspondence for the board; planning meetings, workshops, events and retreats for the board; making travel arrangements for board members; maintaining a calendar for the board; keeping board members apprised of upcoming events; ensuring appropriate board representation at functions; maintaining current board address list; and developing and maintaining the Board of Regents’ Web page. 16.Employees Reporting to the Board of Regents From time to time, the Board of Regents may employ other individuals who report directly to the Board of Regents. Such employees shall hold office without fixed term and at the pleasure of the board. The salary of such employees shall be designated in the appointing order. Performance reviews may be conducted by the board within its discretion. Appendix 4 11 17.Report or Agenda for Meetings At all regular or special meetings of the board, the president of the university shall submit a president's report in writing. Such reports shall follow a uniform format approved by the board, with the proposed form of recommended board orders set out in the first section of the report, followed by sections on faculty and staff, budgetary items, contracts, curriculum, miscellaneous items and explanation. The latter section of the report shall set forth in reasonable detail an explanation of each proposed board order or recommendation. All board orders proposed in a president's report shall be drafted with clarity and brevity to reflect, without the need to refer to extraneous sources, the precise action ordered by the board in each instance. The drafting of multifarious orders for board consideration shall be avoided. A copy of the president's report shall be submitted to all members of the board and the secretary at least ten days in advance of a meeting of the board. 18.Order of Business All regular and special meetings of the Board of Regents shall be as follows unless the chair otherwise directs: A. Approval of the minutes of the preceding meeting B. Reports of standing committees C. Reports of special committees D. Other business E. Adjournment 19.Appearance Before the Board 19.1 Special appearances as requested by the board or president: The chair of the Board of Regents or the president (as approved by the board chair) may invite individuals to appear before the board or one of its committees (as approved by the committee chair) for specific purposes. The chair of the Faculty Senate and the president of the Student Government Association shall have the opportunity to provide a report at each quarterly board meeting. 19.2 Requests to address the board: Requests to appear before the board to make comments on a specific agenda item must be received by the coordinator of board affairs in writing no later than twenty-four (24) hours before the board meeting at which the individual wishes to Appendix 4 12 speak. The request should set out clearly the nature of the subject matter to be presented relating to a specific board agenda item. In making a request to appear before the board, individuals must give their names and any relevant title or affiliation. Comments on topics not posted on the agenda are not allowed butComments regarding non-posted agenda items may be submitted to the coordinator of board affairs in writing, at any time, for distribution to the regents. 19.3 Time allocation: The board will allow up to twenty (20) minutes for public comment per agenda item. An individual speaker will be permitted three (3) to five (5) minutes for a presentation. The board will allow a total of up to ninety (90) minutes for public comments per regular quarterly meeting. Copies of speakers' comments, and/or other written materials for distribution to the Board of Regents will be accepted. Public comments will take place during the scheduled public comment period at the beginning of each regular quarterly meeting. 19.4 Other meetings: While a specific period for public testimony will be limited to the regular quarterly meetings, written comments are welcome for any scheduled meeting of the Board of Regents. One copy of comments may be forwarded to the Office of the Board of Regents for distribution to the regents. 19.5 Scheduling of speakers: When the number of requests to address the board at a given session and for a specific agenda item exceeds the time available, requests will be approved based on the order the written request was received by the coordinator of board affairs. If, by virtue of time or other constraint a speaker is not able to present his/her comments orally, said comments will be accepted in writing and distributed to the Board of Regents at the meeting. 19.6 Special Requests: Special requests to appear before the board for comments at times other than the regular quarterly meetings can be submitted to the coordinator of board affairs for consideration by the chair of the Board of Regents. 20.Annual Budget for University Operations The president shall prepare and submit annually to the board at its April or July meeting, as specified each year by the board, a proposed budget for the operation of the institution for the next fiscal period. Copies of all proposed operating budgets shall be submitted in writing to all members of the board at least one week in advance of such meeting of the board. Appendix 4 13 21.Monthly Financial Report of University Operations The president of the university shall submit a monthly operating statement to the members of the board showing balance sheet by fund groups; statement of income; statement of expenditures, unexpended balances, encumbrances, and unencumbered balances. All institutional books, records, ledgers and accounts shall be kept and maintained in conformity with recommendations of the state auditor and the state comptroller of public accounts, subject to approval by the board. Blanket fidelity bonds, approved by the board, shall be required to cover all employees of institutions under the jurisdiction of the board. 22.Student Admission, Degree Requirements, Tuition and Fees Student admission standards, entrance requirements, and degree qualifications shall be determined and prescribed by the institution, subject to the approval of the board. No otherwise qualified applicant for student enrollment shall be denied admission solely on the basis of religious or racial tests. Enrollment preference shall be given residents of the state of Texas. Tuition, student fees, and room and board rates shall be established by the institution, subject to legislative direction and approval by the board. Each member of the board shall receive copies of major publications of the university. 23.Employment of Bond Legal Counsel The board shall employ bond counsel as appropriate to advise and represent it in any matters. 24.Reimbursement of Expenses Reimbursement of expenses shall be allowed members of the board for attending regular and special meetings of the board; for visiting the university at the request of the board or the chair of the board; for attending formal committee meetings, and for such other special and limited purposes as the board may expressly authorize in accordance with state regulations. Verified Appendix 4 14 expense accounts shall be submitted to the Office of the Board of Regents for payment and the same shall be subject to review and control by the board. 25.Use of Campus Facilities for Political Purposes While the use of the facilities of the university for partisan political assemblies and meetings is not normally encouraged, the faculty and administration, as members of a learned and honorable profession, may properly exercise their acknowledged individual rights and obligations of citizenship free of university discipline or censorship. Individual political candidates and their election organizations are not permitted to reserve a university facility for campaign activities. However, if a candidate is invited by a university group, then he or she may appear in the facility, provided that the group extending the invitation is responsible for reserving the facility and meeting the costs related to the event. No member of the Board of Regents shall undertake to influence the political opinions of personnel subject to the board's jurisdiction, but such personnel are requested to exercise their individual rights of citizenship or academic freedom in a responsible manner reasonably calculated not to identify or associate with the university. A university employee may not use his or her official authority or influence to coerce the political action of a person or body. 26.Authority for Official Statements The Board of Regents hereby reserves the authority and responsibility for determining matters of policy and official statements concerning any political or other subjects of an obviously controversial nature which represents an official policy, statement, or position of the Board of Regents, or of the university. Statements, policies, and positions by the Board of Regents on such matters shall be made by the board through the chair of the board or the president of the university. No regent, officer, faculty or staff member shall have the authority to speak for or issue any public statements on policy for and on behalf of the Board of Regents, or of the university, on such matters without prior approval of the board. Appendix 4 15 27.Naming of Buildings and Other Facilities Buildings and other facilities (including laboratories and clinics) of Stephen F. Austin State University may be named by the Board of Regents for deceased persons who have made outstanding contributions to the university or its prestige. In extraordinary circumstances, particularly when a significant donation has been made to the university, the Board of Regents may name a building, or other facility, for a living person. Gift naming thresholds are outlined in the university’s Policy policy for Naming Guidelines (D-22). The Board of Regents retains the latitude to create alternate naming opportunities within the discretion of the board. Proposed names may be submitted from any source to the Office of Development for their recommendation to the president who, if he concurs, shall submit such names, together with background reasons, to the Board of Regents for consideration; provided, however, that the Board of Regents may act without receiving a nomination from the Office of Development, when circumstances justify such action, and particularly when a substantial donation has been made toward the construction of the building or facility to be named. Any such nominations shall be reviewed by a committee of the board. Such review shall take place before any contacts with prospective nominees. A name will not be moved from one building to another, and when a building is razed, the name will no longer be used. A plaque shall be placed on each new building. The plaque shall show the names of those occupying the following positions on the date of the contract award: the officers of the Board of Regents; the remaining members of the Board of Regents in alphabetical order; the student regent; the president of the university; the vice president for Finance and Administration, the vice president(s) for the area involved, the director of Physical Plant, the architect and the contractor, together with the year the contract is awarded. 28.Provisions to Amend Rules and Avoid Conflict with Statutes The rules and regulations herein provided may be amended by a majority vote of members of the board at any regular meeting or at a special meeting of the board called for that purpose. Proposed amendments shall be filed in writing with the secretary and copies submitted to each board member at least fifteen (15) days before the same are considered by the board. Appendix 4 16 Should all or any part of the foregoing rules and regulations conflict with any constitutional, statutory or legislative appropriations provisions, they shall be amended to conform therewith. Appendix 5 P-1 Policies for Board Review October 18, 2011 Policy Name Policy Number BOR Cte Action/Change Page Number Academic Curricula Review and Approval A-4 ASA Major Rewrite P - 3 Accessibility for Persons with Disabilities F-16 ASA Minor wording changes and cross referencing. P-8 Best Value Procurement C-7 F&A Removal of wording on sealed bids. P-10 Computer and Network Security D-8.1 ASA Security training required annually. P-15 Discontinuance of Program or Academic Unit A-74 ASA New policy derived from wording formerly included in Tenure (E-50A) P-18 Financial Exigency C-63 NEW New policy derived from wording formerly included in Tenure (E-50A) P-19 Gift Reporting C-15 F&A Deposit exceptions approved by VP for Development. P-21 Information Security for Portable Devices D-58 ASA New policy. P-23 Investments C-41 F&A Revisions incorporated from 2011 legislative changes to the Public Funds Investment Act P-25 Professional and Consulting Services C-45 F&A Major rewrite. P-37 Substantive Change A-70 ASA Minor wording changes and updates. P-43 Tenure E-50A ASA Major rewrite, including converting two sections into two new policies (A-74 and C-63). P-46 Appendix 5 P-2 Policy Name Policy Number BOR Cte Action/Change Page Number Travel C-49 F&A Board members and president and spouse are reimbursed for actual expenses when travelling on official business. Clarified language about tips. P-61 Tuition Rebate C-50 C-50 Clarification of SCHs included; appeal period extended. P-76 Appendix 5 P-3 Academic Curricula Curriculum Reviews, Modifications and Approvals (A-4) Original Implementation: October 17, 1978 Last Revision: August 26, 2008October 18, 2011 Section I A. Introduction It is the responsibility of each academic unit of the university to maintain a current curriculaum for the disciplines it offers. and Academic units must engage in continuous review of its curricula. To reach this goal, academic units will verify this objective by conducting a formal review of curricula every three to five years. A schedule proposed by the dean and department/school (hereafter referred to as department) chairs/directors (hereafter referred to as chair) within each college and approved by tThe provost and vice president for academic affairs and appropriate dean will set time lines for the modification and approval process. B. Curriculum Modification Procedures When proposing changes to the curriculum, the originating department will submit its proposal (with the appropriate approval forms) according to the steps outlined in Section II of this policy. Curricular modifications that must follow the approval process include:  nNew cCourses;  mModified courses (e.g., course title, credit hours);  nNew programs (e.g., degrees, endorsements, certificates);  mModified programs (e.g., degrees, endorsements, certificates);  dDeletion of courses and/or programs (e.g., degrees, endorsements, certificates); and  cChanges in mode of delivery such as off-campus face to face, online instruction, and other distance delivery methods. Forms for this purpose are available on the Provost and Vice President for Academic Affairs web site. C. Substantive Change Any curricular changes that involve ―substantive change‖ as defined by the Southern Association of Colleges and Schools Commission on CollegesTexas Higher Education Coordinating Board or the Southern Association of Colleges and Schools Commission on Appendix 5 P-4 Colleges must be communicated by the Office of the Provost and Vice President for Academic Affairs to the appropriate entity and, if necessary under the rules of the entity, be approved before implementation. For further information see the university policy on Substantive Change (A-70)Policy A-70, Substantive Change. Section II: Processes & Procedures For Curriculum Reviews, Modifications, & Approvals Forms for this purpose are available at the Academic Affairs website http://www.sfasu.edu/acadaffairs/. 1. NEWNew,1 MODIFIEDmodified, and DELETEDdeleted Uundergraduate and gGraduate pPrograms (degrees, endorsements, certificates) and CHANGESchanges in mode of delivery shall be developed and submitted at the program level, and recommended for approval by:  Recommended approval by the Departmentacademic unit’s Curriculum Committee;2  Recommended approval bythe Departmentacademic unit cChair  Recommended approval by appropriate cCouncils or cCommittees in the cCollege [e.g., Professional Educators’ Council (A-6) for teacher certification];  Recommended approval by appropriatethe cCollege dDean  Recommended approval by the uUniversity Undergraduate Council or Graduate Council. and  Recommended approval by Council of the Deans Council.  Approved by Provost/VPAA  Approved by University President  Approved by Board of Regents  Approved by and/or appropriate notifications to the Texas Higher Education Coordinating Board, Texas Education Agency, Southern Association of Colleges and Schools or other appropriate outside agencies and organizations.  Inserted into the General Bulletin or Graduate Bulletin after complete approval by and/or notifications to all above entities New, modified and deleted undergraduate and graduate programs and changes in mode of delivery shall then be considered for approval by:  the provost and vice president for academic affairs;  the university president; and  the Board of Regents. Appendix 5 P-5 Where appropriate, approval will then be sought from (and/or notification will be made to) the Texas Higher Education Coordinating Board (THECB), the Texas Education Agency, the Southern Association of Colleges and Schools, or other outside agencies and organizations. Changes will be made in the General Bulletin and/or Graduate Bulletin after approval. 2. NewEW,1 modifiedMODIFIED and deletedDELETED uUndergraduate and gGraduate mMinors, sSecond mMajors and cConcentrations shall be developed and submitted at the program level, and recommended for approval by:  Recommended approval by Dthe departmentacademic unit’s Curriculum Committee:2  Recommended approval by Dthe departmentacademic unit cChair;  Recommended approval by appropriate cCouncils or cCommittees in the cCollege [e.g., Professional Educators’ Council (A-6) for teacher certification];  Recommended approval by appropriate the cCollege dDean  Recommended approval by the uUniversity Graduate or Undergraduate Council; and  Recommended approval by Council of Deansthe Deans Council.  Accepted by Provost/VPAA  Inserted into General Bulletin or Graduate Bulletin after complete approval by and/or notification to all above entities New, modified and deleted undergraduate and graduate minors, second majors and concentrations shall then be considered for approval by the provost and vice president for academic affairs. Changes will be made in the General Bulletin and/or Graduate Bulletin after approval. 3. NEWNew,1 MODIFIEDmodified and DELETEDdeleted Uundergraduate and Ggraduate Ccourses shall be developed and submitted at the program level, and recommended for approval by:  Recommended approval by Dthe departmentacademic unit’s Curriculum Committee;  Recommended approval by Dthe departmentacademic unit Cchair;  Recommended approval by appropriate Ccouncils or Ccommittees in the Ccollege [e.g., Professional Educators’ Council (A-6) for teacher certification];  Recommended approval by appropriate the Ccollege Ddean; and  Recommended approval by Uthe university Undergraduate Council or Graduate Council. Appendix 5 P-6  Approved by Provost/VPAA  Approved by the University President  Approved by Board of Regents in the case of new courses  Approved by Texas Higher Education Coordinating Board, Texas Education Agency State Board for Educator Certificate, Southern Association of Colleges and Schools or other appropriate outside agencies  Inserted into General Bulletin or Graduate Bulletinafter complete approval by and/or notifications to all above entities New, modified and deleted undergraduate or graduate course shall then be considered for approval by:  the provost and vice president for academic affairs;  the university president; and  the Board of Regents (new courses only). Where appropriate, approval will then be sought from (and/or appropriate notification will be made to) the Texas Higher education Coordinating Board, the Texas Education Agency, the Southern Association of Colleges and Schools, or other outside agencies and organizations. Changes will be made in the General Bulletin and/or Graduate Bulletin after approval. 1All NEW undergraduate and graduate degree programs must follow the Texas Higher Education Coordinating Board Policies and Procedures Manual and be submitted on either the Format for Non-substantive or Substantive Degree Program Requests (http://www.thecb.state.tx.us/UHRI/polprod/dp.htm) 2The Steen Library needs to know at a minimum the nature of the new program and the content of any new courses to be offered. So, the contact needs to be made after much of the proposal text has been developed but well enough in advance of presentation to the campus-wide reviewing body, at a minimum, about 60 days. Cross Reference: THECB Instructions and CIP Classification of Instructional Programs Codes; Policy A-69, Certificate Programs (A-69); Policy A-12.1, Course Incidental Fees (A-12.1); Policy A-24 Laboratory Fees (A-24); and Policy A-70, Substantive Change (A- 70); Academic Program Review (A-64); and Professional Educators’ Council (A-6) Appendix 5 P-7 Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: Course Proposal Forms and Laboratory/course fee request are available on the Academic Affairs website.Forms for program revision, course proposals, substantive change, distance education and laboratory/course fee requests are available at the Academic Affairs website http://www.sfasu.edu/acadaffairs/. Board Committee Assignment: Academic and Student Affairs Appendix 5 P-8 Accessibility for Persons with Disabilities (F-16) Original Implementation: Unpublished Last Revision: October 14, 2008October 18, 2011 Stephen F. Austin State University does not discriminate on the basis of disability in admission to, access to, or operations of its programs, services or activities, including hiring or employment practices. The university is committed to providing equal opportunities in higher education to academically qualified students with disabilities who demonstrate a reasonable expectation of college success. Students with disabilities who attend SFA will be integrated as completely as reasonably possible into the university community. The university shares responsibility with the student for modifying campus facilities and programs to meet individual need. Compliance with Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act, as amended, is coordinated through the office of Disability Services. Department heads and directors in academic and non-academic divisions have primary responsibility for providing access to programs and activities in their respective divisions and for seeking assistance to einsure physical access to the facilities in which those programs are offered. Disability Services works directly with students with disabilities, individual faculty members, and academic departments in the provision of classroom accommodations, and assists other university departments in providing access and coordinating accommodations for programs, activities and services offered by the university outside the classroom. SFA will make reasonable workplace accommodations for any employee having a known physical or mental impairment (policy E-67). Requests for employment workplace accommodations for employees with disabilities are submitted to the director of hHuman rResources. for faculty and staff, or to the assistant director of Career Services for student employees, who, with assistance from Disability Services Aand a committee reviews and recommends reasonable workplace accommodations committee if needed, makes employment workplace accommodations based on a case-by-case basis.individual need. Requests for housing accommodations for students with disabilities are submitted to the director of Housing residence life, who makes housing assignments based on individual need , with assistance from Disability Services and a review committee if needed., makes housing assignments based on individual need. Requests for specific persons to provide academic accommodations will be given consideration based upon the requested person's employment qualifications and ability to Appendix 5 P-9 satisfy uniform quality assurance standards. Persons who are involved in an ongoing relationship with, or are related within the second degree of affinity or the third degree of consanguinity to the student or employee with a disability, as defined by pPolicy E-33, Nepotism, may not receive compensation for providing services to that particular student or employee. For specific information regarding provision of academic assistance, refer to pPolicy F- 33, Academic Accommodation of Students with Disabilities. For specific information regarding resolution of disagreements, refer to pPolicy F-34, Appeal Procedure Relating to the Provision of Accommodations for Students with Disabilities. For specific information about workplace accommodations, refer to policy E-67, Reasonable Workplace Accommodation for Disabilities. For information regarding discrimination or harassment refer to pPolicy E-46, Discrimination Complaints/Sexual Harassment. For information on the use of service animals refer to pPolicy D-3, Animals on University Property. Cross Reference: Appeal Procedure Relating to the Provision of Accommodations for Students with Disabilities (F-34); Academic Accommodation of Students with Disabilities (F-33); Reasonable Workplace Accommodation for Disabilities (E-67); Animals on University Property (D-3); Nepotism (E-33); Compliance with the Americans with Disabilities Act and the ADA Amendments Act (D-41); Section 504 of the Rehabilitation Act of 1973, Pub. L. 93-112 (29 U.S.C. 701 et seq.) and the Americans with Disabilities Act of 1990, Pub. L. 101-336 (42 U.S.C. 12101 et seq.) as amended by the ADA Amendments Act of 2008, Pub. L. No. 110-325, 122 Stat. 3553. Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Disability Services Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 5 P-10 Best Value Procurement (C-7) Original Implementation: January, 1988 Last Revision: January 25, 2010October 18, 2011 PROCUREMENT PROCESSES Stephen F. Austin State University makes purchases, not otherwise delegated through Policy C-10, Delegated Purchasing Authority (C-10), on a best value basis through any of the following processes. All procurement processes require Board of Regents approval aAs per Policy D-20.5, Items Requiring Board of Regents Approval (D-20.5), some procurements require Board of Regents approval. Historically UBunderutilized business (HUB) Ssubcontracting Pplan requirements apply in accordance with Policy C-16.5, Historically Underutilized Businesses (C-16.5), and state law. A. All purchases completed with state appropriated funds must first consider making the purchase from Texas Industries for the Blind and Handicapped (TIBH) as mandated by Education Code Section 51.9335 to promote the purchase of goods or services from persons with disabilities. B. Purchases $0 - $5,000 are to be negotiated to achieve the best value for the university. C. The university may purchase goods or services through competitive bid procedures with the following minimum bidder requirements. A justification must be included in the order file if these minimums are not met. 1. $5,000.01 - $25,000.00 – Minimum three informal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned 2. Greater than $25,000.00 – Minimum five formal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned; Eelectronic Sstate Bbusiness Ddaily posting required unless Pprocurement Sservices determines that no value is added by the posting. In determining best value for Ccompetitive Ssealed Bbids, the university shall consider best value factors identified in Education Code Section 51.9335. D. The university may purchase goods or services through the competitive sealed proposal process outlined in the Pprocurement Ddepartment RFP Mmanual. All competitive sealed proposals shall include an appropriate number of solicitations to be determined by the Procurement Departmentpurchaser, including HUB vendors of any gender and ethnicity when identified as providing the good or service sought. Electronic Sstate Bbusiness Ddaily posting is required, unless the Pprocurement Departmentservices determines that no value is added by the posting. Appendix 5 P-11 E. The university may purchase goods or services through the Request for Offer (RFO) process established in 34 Texas Administrative Code Section 20.391 for the acquisition of automated information systems goods and services. F. The university may purchase goods or services through group/cooperative purchasing programs without a solicitation process, when such purchase is deemed to represent the best value to the university. G. The university may purchase goods or services through State of Texas Tterm Ccontracts, State of Texas Mmultiple Aaward Sschedules (TXMAS), and DIR/Tex- An Ccontracts without a solicitation process, when such purchase is deemed to represent the best value to the university. H. The university may purchase goods or services through reverse auctions. I. The university may purchase goods or services through contracts awarded by other state agencies or institutions of higher education without a solicitation process when such contracts are available and have followed approved purchasing processes, and such purchase is deemed to represent the best value to the university. J. The university may purchase goods or services through contracts awarded by the Council on Competitive Government in accordance with Government Code Section 2162 without a solicitation process, when such contracts are available, and such purchase is deemed to represent the best value to the university. K. The university may purchase goods or services on an EMERGENCYemergency basis. An emergency purchase is defined as a situation requiring that a procurement be made more quickly to prevent a hazard to life, health, safety, welfare, or property or to avoid undue additional cost to the university. A procurement may be declared an emergency at the purchaser‘s discretion in consultation with the end user and upon approval by the director of procurement. Declaration of an emergency supersedes all other best value procurement rules. The university will attempt to obtain bids, price comparisons or proposals when sufficient time exists by utilizing the most effective procurement process, including the Eelectronic Sstate Bbusiness Ddaily, when value is added by using such processes. EXEMPT PURCHASES The following purchases are exempt from best value procurement processes. Submission of a purchase requisition and other rules may apply. Statements included below in quotes are considered to be a part of any purchase order issued for the good or service when the purchase order is identified as an exempt purchase. 1. Advertising 2. Hotels and meeting rooms for conferences Appendix 5 P-12 3. Conference expenses; expenses related to conference room services such as audio/visual/network and food services. (does not include goods purchased for attendees or transportation services) 4. Moving expenses (employee) – — Ssee Policy C-21, Moving Expenses (C-21) 5. Student travel; expenses related to student travel 6. Library materials and services for Stephen F. Austin State University libraries, as defined by Government Code Section 2155.139(a)(2), when such exemption represents the best value to the university. ―Exempt library purchase in accordance with university policy‖ 7. Membership dues and associated fees 8. Direct publications only available from a single source as defined by Texas Procurement and Support Services (TPASS) in the TPASS Procurement Manual; i.e., hard-copy or electronic subscriptions, books, videos, software and software maintenance direct from the publisher. ―Not available from any other source‖ 9. Freight, including shipping, handling, fuel surcharge, hazardous material fee, postage, and other surcharges 10. Intra-agency payments 11. Rental of exhibit space; i.e., booths for display purposes 12. Items for resale 13. Internal repairs – repairs for which the extent and cost of such cannot be determined until the commodity is disassembled and evaluated. An internal repair must contain labor and may also include parts. ―Accurate repair costs cannot be determined until equipment is disassembled.‖ 14. Purchases from federal agencies 15. Utilities, other than electricity for which SFA chose to opt into deregulation 16. Organized activity purchases – Ggoods and services for the Early Childhood Lab, Cole Audiology Lab, Beef Farm, Poultry Farm, Equestrian Program, Broiler Houses, and Swine Farm when the purchase directly affects operations and such exemption represents the best value to the university. ―Exempt purchase for an organized activity related to an instructional department in accordance with university policy‖ 17. Group travel; expenses related to group travel when such group travel includes non-university persons and is funded by payment from individual travelers; i.e., Art Tour 18. Gifts, prizes and awards for students, employees and non-university individuals 19. Accreditation Ffees 20. Tournament fFees or Ggame Gguarantees 21. Licensing Ffees or Ppermits 22. Employee Rregistration or Ttuition 23. Sponsorships 24. Non-travel-related meals Appendix 5 P-13 25. Fees, not otherwise identified herein 26. Notary bonds 27. Guest lecturers, speakers, artists, entertainers, performers, musicians, etc. 28. Educational/training services for university employees 29. Veterinary services 26.30. Other professional services as defined by the state comptroller’s expenditure codes COMPETITIVE SEALED BID SUBMISSION, BID OPENING, AND TABULATION Bid Submission 1. Prospective bidders may request specific bid invitations from the Procurement Department at any time prior to the bid opening; 2. A bidder may withdraw its bid by written request at any time prior to the bid opening date and hour; 3. A bid received after the time and date established by the bid invitation is a late bid and will not be considered; 4. A bid received which does not contain adequate bid identification information on the outside of the envelope will be opened to obtain such information and will then be processed as any other bid. If the incorrect information on the envelope causes the bid not to be considered in making an award, the bid will be considered invalid and rejected; 5. Bids may be submitted by facsimile (fax). The telephone number for fax bid submission will be identified in the solicitation; no other number may be used for bid submission. Bids submitted by fax need not be confirmed in writing, but must comply with all legal requirements applicable to formal bids. If all or any portion of a bid submitted by fax is received late, is illegible, or is otherwise rendered non-responsive due to equipment failure or operator error, the bid or the applicable portion of the bid will not be considered. The university shall not be liable for equipment failure or operator error, nor will such failure or error require other bids to be rejected or the bid invitation to be re-advertised. 6. Bids may be submitted by email when specific instructions regarding email submission are included in the solicitation, or if approved by the purchaser. Bids submitted by email need not be confirmed in writing, but must comply with all legal requirements applicable to formal bids. If all or any portion of a bid submitted by email is received late, is illegible, or is otherwise rendered non-responsive due to equipment failure, operator error or email quarantine, the bid or applicable portion of the bid will not be considered. The university shall not be liable for equipment failure, operator error, or emails directed to email quarantine, nor will such require Appendix 5 P-14 other bids to be rejected or the bid invitation to be re-advertised. When email submission is allowed, all required signatures must appear on the emailed document via scan or image attachment. 7. An unsigned bid is not valid and will be disqualified; 8. A bidder or department may request, in person at the bid opening, that bids be read aloud. No bid shall be required to be read aloud at any time other than during regular working hours and days; 9. When formal bids are required, bids may not be taken or accepted by telephone; 10. If an error is discovered in a bid invitation, or agency departmental requirements change prior to the opening of a bid, the Procurement Department will transmit an addendum correcting or changing the specifications to all bidders originally listed on the transmission list for that bid invitation. Bids will not be rejected for failure to return the addendum with the bid, unless otherwise noted, if the receipt of the addendum is acknowledged on the face of the bid. Bid opening and tabulation. 1. All bid openings conducted by the Procurement Department shall be open to the public. 2. Bid opening dates may be changed and bid openings rescheduled if bidders are properly notified in advance of the opening date. 3. If a bid opening is canceled, all bids which are being held for opening will be returned to the bidders. 4. All bid tabulation files are available for public inspection. Bid tabulations may be reviewed by any interested person during regular working hours at the offices of the Procurement Department, or a copy may be provided. Employees of the university are not required to give bid tabulation information by telephone. Cross References: Items Requiring Board of Regents Approval (D-20.5); Historically Underutilized Businesses (C-16.5); Delegated Purchasing Authority (C-10); Tex. Educ. Code § 51.9335; 34 Tex. Admin. Code § 20.391; Tex. Gov‘t Code Ch. 2162; Tex. Gov‘t Code § 2155.139(a)(2) Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Procurement and Property Services/HUB Coordinator Forms: Purchase Requisition, Purchase Voucher Board Committee Assignment: Finance and Audit Appendix 5 P-15 Computer & Network Security (D-8.1) Original Implementation: January 24, 1995 Last Revision: October 12, 2009October 18, 2011 Purpose This policy establishes the conditions and security requirements for the use of computing equipment and networks at Stephen F. Austin State University (SFA). Computing equipment includes desktops, laptops, servers, handheld devices, and printers. In order to comply with state requirements (Information Resources Management Act, (Tex. Gov‘t Code § Ch. 2054,) and Texas Administrative Code, Title 1, Part 10, Chapter 202), the director of information technology services (ITS) serves as information resources manager for the university and the Department of ITS ensures compliance. Scope This policy applies at all university locations or data centers and represents the minimum requirements that must be in place. Individual areas with computers and networks may have additional controls and security. Policy 1. Each vice president, dean or director shall designate department staff (not student employees) or the technical services group of ITS as responsible for the support, maintenance and security of the computing equipment within their purview. For organizational units that designate local staff as their support provider, ITS shall provide computing support guidelines specifying the level of support that ITS shall provide as the secondary support provider. 2. Each organizational unit shall implement local security procedures to include: a. Protection of the privacy of confidential information; b. Protection of information against unauthorized modification; c. Protection of systems against unauthorized access and use; d. Display of the security banner from the ITS security web page on organization computers; e. Use of the university‘s central authentication source for user authentication on servers and desktop computers, where feasible; f. Use of the standard university antivirus software in a managed configuration, where feasible. 3. Each organizational unit of SFA that maintains a local area network(s) must develop a local security procedures document that is subject to approval by ITS. In order to mitigate and manage risk, each organizational unit maintaining servers shall participate in the annual information systems security risk assessment. The president or designee shall make the final security risk management decisions either to accept exposures or to protect the data according to their value or sensitivity. Appendix 5 P-16 4. SFA shall not be liable for the loss of data or interference with files resulting from the university‘s efforts to maintain the privacy and security of the university‘s computer, information, and network facilities. In order to maintain network security, the university reserves the right to: a. Limit, restrict, or terminate an account holder's usage; b. Inspect, copy, remove, or otherwise alter any data, file, or system resource that threatens the security of a system or network, with or without prior notice to the user; c. Check systems periodically and take the necessary actions to protect university computers, information, and networks. 5. Individuals shall exercise responsible, ethical behavior when using the university's information resources. The university reserves the right to limit, restrict or extend privileges and access to its resources. a. Access to certain university information resources is provided through the establishment of an account. Computer accounts must be approved in writing through the respective dean or director (or designated representative) of the administrative unit. b. Since the university permits access to copyrighted data through the Internet, each user is responsible for complying with university policy D- 42, Digital Millennium Copyright. Disciplinary action, including termination of service, may be taken on any reported copyright infringements that have been investigated and determined valid. c. Computer systems provided by SFA are reserved only for university-related activities (See Chapter 39 of the Texas Penal Code for provisions dealing with the misuse of state property). The intentional deletion or alteration of information or data of others, intentional misuse of system resources, and misuse of system resources by others are prohibited. 6. All users in security sensitive positions or users having access to Banner information, other than their own personal information, shall complete online security awareness training annually. Online security awareness training is considered complete once the user has scored a minimum of 80% on the security awareness quiz. 6.7.Each user is responsible for complying with university policies F-40, Acceptable Use of Information Resources and D-43, Computing Software Copyright. Sanctions for Policy Violations Violations of any provision of this policy may result in, but are not limited to: a. a limitation on a user's access to some or all university computer systems; b. the initiation of legal action by the university; c. restitution by the violator for any improper use of service; d. disciplinary sanctions, which may include dismissal. Many academic courses and work-related activities require the use of computers, networks, and systems of the university. In the event of an imposed restriction or Appendix 5 P-17 termination of access to some or all university computers and systems, a user enrolled in courses or involved in computer related work activities may be required to use alternative facilities. However, users are advised that if alternative facilities are unavailable or not feasible, users are responsible for the failure to complete requirements for course work or work responsibilities. Cross Reference: University Policies: Acceptable Use of Information Resources (F-40);, Computing Software Copyright (D-43);, and Digital Millennium Copyright Policy (D- 42); Texas Information Resources Management Act; ,